In Practice

Employers are not only urging employees to join their retirement savings plans, but a new study indicates more companies are allowing workers to get started right away.

A new report suggests that more financial advisers (FAs) at the national broker/dealers (B/Ds) are reluctant to follow home office model portfolio recommendations. 

Advisers with retirement plan sponsor clients have total assets under management (AUM) more than 40% higher than their peers, according to Cogent Research.

Could Americans have learned their lesson about saving versus spending?

The number of employers planning to offer annuities to participants in their defined contribution plans is expected to grow, according to a survey by Watson Wyatt.

New research from the Sun Life Financial Unretirement Index revealed that more working Americans seek financial advice from family members and friends than from financial advisers, the media,...

Financial firms surveyed by Cerulli Associates said examination of fees, such as 12b-1 reform, will be the greatest regulatory impact in the coming year.

Most Americans don’t have money set aside for unanticipated financial emergencies and are not adequately getting ready for their children’s college expenses and their own retirement, according to...

A new survey asking respondents to choose a movie title that best describes their near-term financial future revealed more positive outlooks than negative.

A federal court has ruled that a former employee stock ownership plan (ESOP) participant can pursue his claim that plan fiduciaries breached their duties by failing to tell...

Most Americans don’t check out their financial adviser’s background, according to a new study by the FINRA Investor Education Foundation.

Available during the first quarter of 2010, The Principal Financial Group is offering a transition expense allowance to help offset third-party administrator (TPA) fees during their first year...

A new study from Fidelity finds more Americans than in the past are resolving to save more and learn more about finances in the coming year.

New research sponsored by AUL Retirement Services finds 403(b) plan sponsors are confident they understand their responsibilities and are not worried about IRS audits.

TD AMERITRADE said its recent survey found there is no mad dash by investors to convert retirement savings to a Roth IRA when a new rule becomes effective...

Merger and acquisitions (M&A) among registered investment advisory (RIA) firms has slowed, but firms are poised for resurgence, according to a new industry study.

Nearly half of registered investment advisers (RIAs) reported gaining clients and improving client satisfaction in the last year, according to the latest study of how RIAs fared during...

Some 47% of polled Gen Y employees with an employer-sponsored retirement savings program said retirement savings has to take a back seat to funding everyday costs, such as...

Most advisers don’t see independent online brokerages as a threat to their businesses—but a new report suggests they might be.

Research from The Hartford found that people who have taken the time to plan for retirement or their financial future are in a better place financially and have...