Magazine Articles

Key legislation, regulations and litigation from Washington, D.C., and the courts.

ESG-conscious fixed-income products can strengthen a portfolio.

The SEC’s relief package helps advisers keep operating, while the CARES Act eases access to retirement savings.

Advisers talk about how they seek client referrals.

Past Retirement Plan Advisers of the Year discuss their ‘tech support.'

Transactions, promotions and new hires in the financial advisory industry.

Black Americans need more representation in the financial advisory field.

Some risks are ‘participant experienced’ and some ‘participant controlled.'

403(b) sponsors may stave off lawsuits by cleaning up plan governance.

 

Any size plan could be a target for fee litigation.

Client relationship summaries will be needed to do rollovers.

Advisers can help with the functions of a committee—even a three-member one.

PEPs should be a boon to small employers—how advisers, too, can gain from these plans.

A New High Estimated net flows into open-end and exchange-traded sustainable funds totaled $20.6 billion last year—four times the previous annual record set in 2018. Source: Morningstar Direct...

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

Still, the new SEC advertising regulations warrant caution.

Former Congressmen Dodd and Frank join the legal challenge, while the financial and insurance communities largely stand behind the rule.

Why do participants opt out of the default investment?

A Market in Need: Micro plans have much to gain from adviser help with fiduciary matters.