News

Timothy J. Roth, a former investment adviser in Stonington, Illinois, was barred from association with any broker/dealer or adviser by the Securities and Exchange Commission (SEC).

With the right combination of plan design and automated program features, retirement plan effectiveness can often be improved within reasonable budget levels, a paper asserts.

Though a worthy idea, the target-date (TD) fund concept appears to have been implemented hastily and poorly, a paper asserts.

The Government Accountability Office (GAO) has recommended regulators take certain steps to make plan-to-plan rollovers easier for defined contribution (DC) participants.

Dan Schatz joined ING U.S.’ Retirement business April 1 to support the Large Corporate Markets’ Business Development team.

Baby Boomers’ confidence in doing a good job preparing financially for retirement has declined.

Retirees who have a positive relationship with their plan provider are more likely to keep their assets with that provider, a study found.

A registered investment adviser (RIA), Square 1 Asset Management, has been unveiled by Square 1 Bank.

VelocityShares LLC introduced three emerging market depositary receipt (DR) exchange traded funds (ETFs) on the NASDAQ. 

Almost half of employees in Maryland (49%) do not participate in an employer-sponsored retirement plan, a report found.

The Mariner Incubation Fund will be managed by Eric Pellicciaro, who joined Mariner Investment Group from BlackRock.

A registered independent adviser (RIA), Independent Financial Advisors of Riverside, California, is Beacon Pointe’s latest deal.

A registered investment advisory, ACI Capital Group LLC, was formally dissolved Friday.

It is increasingly being used as a business tool, but users can run into compliance issues on social media when they tweet or post an update.

MFS Investment Management has rolled out Class R5 shares, offering a lower-cost investment for advisers and plan sponsors.

U.S. investors said they have just 11% on average of their income-producing assets invested internationally.

Employees want to understand their benefits better and employers could improve their benefits communications, a survey suggests.

Cetera Financial Group has agreed to purchase Tower Square Securities and Walnut Street Securities from MetLife Inc.

Companies can announce key information in compliance with Regulation Fair Disclosure on Facebook, Twitter and other social media, the Securities and Exchange Commission (SEC) said.

Retirement benefit decisions can no longer be made without factoring in health care, according to a source at Manning & Napier.