February 13th, 2020

Rockwell Automation Must Face ERISA Challenge Allegations in the lawsuit, which has now cleared Rockwell’s dismissal motion, echo those filed in other lawsuits challenging the actuarial assumptions used by pension plan sponsors to value alternative forms of benefits other than the default. Read more > FINRA Wants to Help You With Reg BI Compliance As the enforcement date approaches for the sweeping Regulation Best Interest rulemaking package, FINRA is working hand-in-hand with the SEC to ensure effective coordination—and to support advisers working on associated compliance challenges. Read more > Adviser Managed Accounts. A Good Fit? The past few years have seen a number of recordkeepers roll out new “adviser managed accounts,” i.e., managed accounts that include the consulting services of an independent registered investment adviser. Read more > MOST READ ARTICLES

PLANADVISER DCIO Survey The reach of defined contribution investment only marketplace—and how industry insiders expect intermediaries to expand the current concentration of assets among a few DCIO providers to competing investment firms. Read more > Adviser Choice Awards The Adviser Choice Awards recognize retirement specialist advisers’ most favored investment and recordkeeping providers. Each year the awards are given to those investment and recordkeeping providers who ranked among the 3 highest-scoring providers in two or more of the product and service categories evaluated in the PLANADVISER Retirement Plan Adviser Survey. Read more > Streamlining the Process TPAs can create efficiencies for serving micro plans. Read more > Market Mirror Wednesday, the Dow climbed 275.08 points (0.94%) to 29,551.42, the NASDAQ closed 87.02 points (0.90%) higher at 9,725.96, and the S&P 500 was up 21.70 points (0.65%) at 3,379.45. The Russell 2000 increased 11.86 points (0.71%) to 1,689.38, and the Wilshire 5000 gained 232.32 points (0.68%) to finish at 34,403.27. The price of the 10-year Treasury note was down 3/32, increasing its yield to 1.636%. The price of the 30-year Treasury bond decreased 6/32, bringing its yield up to 2.091%.

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