PLANADVISER Weekend Newsdash
Week ending May 5th, 2017
NOTE FROM THE EDITOR
Happy Friday, readers! This week brought the appointment of a new Chair at the Securities and Exchange Commission, Jay Clayton. Under the outgoing chair’s leadership the SEC took a more direct and aggressive role in policing the retirement investment marketplace. It remains to be seen what approach Clayton will take as chair, but it stands to reason that, as a Republican-appointed official, he will be more laissez faire in his approach to government intervention in the client-adviser relationship. Stay with www.planadviser.com for the latest coverage of SEC, DOL, FINRA and more. 
Editor's choice
Jay Clayton Named SEC Chair At Pivotal Time For Industry
President Donald Trump nominated Clayton on January, 20, 2017, and he was confirmed by the Senate on May 2. The nomination by President Trump sends a clear signal to advisers about the likely style and character Clayton will bring to the Commission, especially compared with the ostensibly aggressive approach outgoing Obama-era Chair Mary Jo White brought to the role. Read more >
Mandatory RIA Succession Planning in the Works at SEC
The Securities and Exchange Commission is proposing a new rule and rule amendments under the Investment Advisers Act of 1940 aimed at bolstering advisory industry succession planning.  Read more >
Broad SEC Initiative Targets RIAs and Brokers
SEC staff intends to revamp focus on registered investment advisers and broker/dealers selling investment products to retail investors and retirement savers. Read more >
Inside Look At SEC Deficiency Letter Trends
A new publication from the SEC outlines the five most frequent compliance topics identified in deficiency letters sent to SEC-registered investment advisers. Read more >
Rumbles of SEC Uniform Broker Standard Growing Louder
The Securities and Exchange Commission has given several signs that it could soon introduce a uniform standard of client care for registered brokers and advisers.  Read more >
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Bill Beardsley Exits LPL Retirement Partners Business

At the end of the day there just aren’t all that many people working on retirement plans, so it is only natural that firms will compete for and trade talent.

Rethinking Retirement Plans
A Flexible Approach to Providing Lifetime Income
Participants’ Retirement Outlook Has Improved

Fifty-two percent think they will be able to retire at their ideal retirement age, and 52% say they either somewhat or strongly agree that their savings will last throughout their lifetime.

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

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

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