DOL Lacked Safeguards for Common Interest Agreements, per Inspector General
The Department of Labor increased the risk of data misuse, according to the inspector general’s testimony before a House panel.
News
Putting Clients at the Center of Provider Strategy
Selecting and maintaining provider relationships has become increasingly complex, but experts say client needs should remain constant.
SEC Enforcement Deputy Director to Leave Agency
The Securities and Exchange Commission announced Wednesday that Sam Waldon, principal deputy director of its Division of Enforcement, will leave...
DOL Brief Sides With Bristol-Myers in PRT Appeal
Amicus briefs by the Department of Labor, business groups, insurers and states argue that litigation would harm the pension risk...
House Bill Would Limit Tax Breaks for Multimillion-Dollar Retirement Accounts
Only individuals and couples with high salaries and retirement account balances higher than $10 million would be affected by the...
Wellington, Vanguard, Blackstone ‘Alliance’ Eyes ‘Retirement-Specific’ Products
The three companies’ ‘strategic alliance’ launched on Wednesday its first funds to include private-market access.
Retirement Takes Center Stage in Benefit Allocations, per BofA
A Bank of America report shows 70% of surveyed employees cited retirement savings as a top financial goal.
CFP Board, FINRA Consider Rules Feedback
The potential change to how the CFP Board treats applicants with expunged convictions comes as FINRA considers a five-year statute...
End to Student Loan Payment Pause Yields Sharp Rise in Defaults
A record 9.52 million borrowers had defaulted, as of March.
Advisory M&A News – 7/21/2026
Sweet Life Financial Planning joins RFG Advisory; LPL Financial taps 2 new advisers; OneDigital adds Rosenthal Wealth Management Group; and...
Millennials Expect Retirement Delays Amid Career Disruptions, per TIAA
More than half of Millennials surveyed by TIAA said they expect to have to delay their retirement.
Advisory M&A Remains Strong, Despite Mixed Valuation Messages
While DeVoe & Co. found advisory firm buyers expect a decrease in acquisition valuation this year, other consulting firms did not anticipate such a decline.
ERIC Files Brief Backing Dismissal of Pepsi’s Tobacco Surcharge Case
The ERISA Industry Committee argues that if a circuit court allows for the case to process, it would discourage the...
Proposed Senate Bill Simplifies Form 5500 Filing
The legislation, which would streamline annual filing requirements for plan sponsors, mirrors a House proposal.
Curiosity Can Turn Advisers Into AI Leaders
Advisory firms no longer require outside specialists to devise artificial intelligence strategies, as stronger models have ‘leveled the playing field.’
This Year’s Retirees to Spend $185K on Medical, Healthcare Costs, per Fidelity
The figure jumped by more than 7% year-over-year.
Bipartisan Bill Wants Social Security Advisory Board to Offer Solvency Solution
The board currently has three seats vacant—and any recommendations on Social Security would need congressional approval.
IRA Financial Names New CEO
The retirement platform for self-directed clients appointed a veteran tech executive.
AI Product & Service Launches – 7/20/2026
D1g1t launches MCP servers for advisers; Smartria releases SmartArchive for communications; and Mariner partners with Humanity Lab for AI workforce.
Plan Fiduciary Had Alleged Affair With Adviser, Now Faces ERISA Charges
Separate from her divorce proceedings, the plan fiduciary is accused of losing $2 million in investments in her 401(k) and...