PLANADVISER Weekend Newsdash
Week ending January 20th, 2017
NOTE FROM THE EDITOR
Happy Friday, readers! All eyes are on the Washington political power transition this week, and so our wrap-up newsletter looks at some of the latest actions by the DOL, SEC and other federal regulators. We’ve heard a real variety of opinions regarding the approach that may be taken by the newly minted Trump Administration when it comes to enforcing ERISA and other investment regulations, and we anticipate hearing a lot more in coming weeks. Stay tuned to  for all the latest. 
Editor's choice
Retirement Clients Concerned Over Federal Tax Policies
A Transamerica survey found that 34% of Americans believe extending the Saver’s Tax Credit to all filers regardless of income should be a priority for incoming President Donald J. Trump and the new Congress. Read more >
All Eyes On Potential Washington Policy Reforms
Advisers are “keenly aware of their clients’ moods and recognize that there are no ‘one size fits all’ retirement plans in the face of an unpredictable future,” research shows. Read more >
Firms Charge Ahead Regardless of Trump Policies
Retirement industry executives overseeing one of the largest recordkeeping businesses around say they are optimistic for the future of DC retirement planning, whatever policies emerge from Washington. Read more >
SEC Names Retirement Investments Among 2017 Exam Priorities
Among the topline priorities for the Securities and Exchange Commission’s examination staff during 2017 will be “the services provided by public pension advisers” and an “expanding focus on senior investors and individuals investing for retirement.” Read more >
SEC Offers Guidance on DOL Fiduciary Rule Compliance
Since the DOL conflict of interest rule’s publication, mutual fund providers and their adviser-intermediaries have also been asking the SEC extensive questions about sales loads, fee schedules, etc. Read more >
MOST POPULAR STORIES
Education About Tax Treatment and Fees Could Boost 401(k) Participation

Findings from a Capital One survey about why employees do not participate in their employer-sponsored retirement plan offers opportunities for education, according to Stuart Robertson.

IRS to Focus on Retirement Plan Distributions and 403(b) Plan Rules in 2019

A Program Letter lists compliance strategies for the agency for next year.

How Rising Interest Rates Affect Stable Value Funds
While money market funds may look more appealing in the short run, this is not expected to last.
Inertia Remains a Plan Sponsor Problem, Too

The language of “inertia” and “disengagement” are often used to describe the natural state of retirement plan participants, but new research from Wells Fargo suggests plan sponsors are also prone to settling with the status quo.

Kaleida Health Faces 403(b), 401(k) Plan Fee Lawsuit

The complaint specifically calls out the 11 T. Rowe Price target-date funds (TDFs) offered by the plans, saying they are all adviser or retail class funds—as opposed to investor or institutional class funds.

Editorial: Alison Cooke Mintzer alison.mintzer@strategic-i.com

Advertising: Paul Zampitella paul.zampitella@strategic-i.com

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