PLANADVISER July/august 2019

An Array of Models

Some advisers find opportunities through aggregation or affilliation

Drawing Attention

Celebrating the good works of advisers who give back to their communities

The Word About Newsletters

They are a great way to stay in touch with participants, particularly for advisers to large plans

Legislative and Judicial Actions

FINRA Share-Class Sweep Highlights Importance of CooperationThe Financial Industry Regulatory Authority (FINRA) announced the final results of its mutual fund waiver initiative—the agency’s aggressive multiyear effort to ensure member...

Talking Points

Worry Forecast What advisers predict will be clients’ 3 greatest worries for the next 12 months, and what clients say those actually are: Source: Nationwide Advisory Solutions, “Advisor Authority...

The Value of Data

By threading data through an AI interface, recordkeepers create a custom participant experience
Art by Tim Bower

Venue Clauses

Supreme Court won't opine on the provisions' enforceability