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March 20th, 2019 |
 | ‘Reg BI’ and Dual Registrants“I am a dual-hatted adviser—i.e., a broker/dealer and registered investment adviser. I primarily act as an investment adviser representative. When acting as an IAR, I can recommend mutual funds to investors that will pay 12b-1 fees to my broker/dealer, and I am paid 80% of those fees personally. How will the SEC’s proposed Regulation Best Interest affect that arrangement?”
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| New DCIIA Report Aims to Help DC Plan Sponsors With Custom TDF Discussions | | Chris Nikolich, with AB, and co-contributor to the research initiative, told PLANADVISER, “The whole purpose of this was to allow plan sponsors to compare their custom allocations to others managed by potentially other investment managers. That kind of peer information didn’t exist; there has been no ability for plan sponsors to gauge how similar or different their custom TDF glidepaths are to others.”
Read more > | | | Vanguard Launches Hub for Retirement Plan Consultants | |
Features of the Consultant Hub include a retirement plan comparison tool and custom investment reporting, among other things.
Read more > | | | Market Mirror | | Tuesday, the Dow closed 121.43 points (0.47%) higher at 26,035.53, the NASDAQ was up 9.47 points (0.12%) at 7,723.95, and the S&P 500 was virtually unchanged at 2,832.57. The Russell 2000 decreased 8.95 points (0.57%) to 1,554.98, and the Wilshire 5000 was down 22.11 points (0.08%) at 29,300.60.
The price of the 10-year Treasury note was down 2/32, increasing its yield to 2.614%. The price of the 30-year Treasury bond decreased 4/32, bringing its yield up to 3.025%.
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