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January 19th, 2018 |
| SEC Investor and Cyber InitiativesNotably, these compliance areas are not new territory for the SEC. In fact, the agency has repeatedly brought enforcement actions against advisers for engaging in questionable cybersecurity practices. As a result of the task force’s efforts—which will include the use of data analytics and other resources—the SEC is poised to greatly enhance and expand its investigative and enforcement activities, and to extend even greater scrutiny to advisers and other regulated parties.
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Many Facets of Value | Much has been made of the active vs. passive debate and what is best for retirement plans. As litigation and required disclosures continue to place an emphasis on investment fees, there is a growing focus on cost-effective investments and index funds. Thus, it is unsurprising to see that Vanguard is the No. 1 fund family and that retirement plan advisers made the Vanguard S&P 500 Index Fund their top fund to recommend to clients.
Read more > | | Alight Solutions 401(k) Index Measures Slowest Trading Year Ever for 2017 |
In total, 1.45% of total plan balances were traded during the year, down from 2.13% in 2016, as participants chased performance within their own portfolios.
Read more > | | Securities America Frees Advisers to Text Clients |
Texting is becoming the public’s communication channel of choice, the firm says, but the common communication pathway presents regulatory and practical challenges in the independent adviser context.
Read more > | | Market Mirror | Thursday, the Dow lost 97.84 points (0.37%) to finish at 26,017.81, the NASDAQ was down 2.23 points (0.03%) at 7,296.05, and the S&P 500 decreased 4.53 points (0.16%) to 2,798.03. The Russell 2000 fell 9.93 points (0.63%) to 1,576.73, and the Wilshire 5000 closed 62.39 points (0.21%) lower at 28,984.77.
The price of the 10-year Treasury note was down 8/32, increasing its yield to 2.616%. The price of the 30-year Treasury bond fell 25/32, bringing its yield up to 2.896%.
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