How Investors and Their Advisers Are Preparing for Midterm Elections
According to Nationwide research, 40% of surveyed investors said they made changes to their retirement portfolio in anticipation of November’s...
News
Retirement Industry People Moves – 10/16/2026
FLX Networks adds 2 to advisory board; Carson Group hires divisional president of integrated channel; Truxton appoints portfolio manager; and...
Economic Worries Push Employees to ‘Rethink, Redesign’ Retirement
New studies show workers desire better benefits and direct economic support to satisfy their financial needs.
Supreme Court Declines to Hear Ruby Tuesday Appeal in Equitable Surcharge Case
The decision leaves intact a ruling favoring a plan trustee and preserves differing interpretations among appeals courts of remedies available...
Product & Service Launches – 10/15/2026
Docupace launches wealth operations platform; DeepVest launches PlanLab platform; Abacus Global Management, Retirable team up on planning; and more.
Recordkeeper Contracts Can Be Plan Documents, per Federal Appeals Court
The 4th Circuit’s decision strays from what other circuits have held counts as an ERISA-covered document.
11th Circuit Scraps Longstanding ERISA Exhaustion Rule
Participants in Florida, Georgia and Alabama no longer need to complete plan claims procedures before filing fiduciary-breach litigation.
Advisory M&A News – 10/14/2026
CAPTRUST adds $3 billion team; Waverly Advisors acquires MCS Family Wealth Advisors; LPL acquires 2 separate teams; and more.
Cerulli, Guardian Highlight Need for Range of Retirement Income Options
Plan participants’ needs are broader than a one-size-fits-all option.
Interested in Offering CITs? Learn About the Regulations
As collective investment trusts become increasingly popular in retirement plans, fiduciaries must remember that they are subject to many rules...
Social Security Cost-of-Living Adjustment Rises 3.6% for 2027
Monthly Social Security checks will increase by an average of $75.
Ohio Advisory Firm Owner Charged With Stealing Employees’ 401(k) Funds
Seku Shabazz is also accused of running a Ponzi scheme and of committing mortgage and identity fraud.
Lockton Companies Disability Benefit Ruled to Fall Under ERISA
A judge in the Southern District of California ruled the employer went beyond collecting employee premiums.
FINRA Outlines Q4 Regulatory Priorities
The regulator’s latest policy agenda highlights upcoming guidance and rulemaking on artificial intelligence and electronic delivery, which could affect financial...
More Info, More Personalization
Experts say data revealing a participant’s complete financial picture increase managed accounts’ effectiveness.
401(k) Trading Slows in September and in Q3, per Alight
Trading activity decreased modestly in the third quarter of 2026 despite mixed market results, according to Alight Solutions’ Third Quarter...
MAI Taps Matt Barthel to Head Strategic Adviser Recruiting
The former editor oversaw Barron’s financial adviser rankings.
AI Product & Service Launches – 10/12/2026
Morningstar launches Direct AI agentic software; TruChoice, Zocks offer AI tools to insurance, annuity teams; and Bento Engine launches MCP...
Nomination Period Open for 2027 PLANADVISER Retirement Plan Adviser of the Year
PLANADVISER is asking for help in identifying the best retirement plan advisers in the country. If you work with or...
DOL Prevails in Circuit Court Appeal Over Diverted Contributions, Unpaid Health Claims
The US 5th Circuit Court of Appeals affirmed a Louisiana district court’s decision to grant summary judgment on claims a...