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 >
MOST POPULAR STORIES
What Is a DOL Adviser Investigation Like?
The number of Department of Labor investigations of financial advisers has steadily increased over the years; here is a primer on the DOL’s sources of authority, and what to expect when examiners come knocking.
TOP 100 Retirement Plan Advisers
Noteworthy retirement plan specialists, based on number of plans and total assets under advisement.
Americans Worry About Running Out of Money in Retirement

CPA financial planners say Americans are also concerned about maintaining their lifestyle and not being able to meet rising health care costs.

2019 PLANADVISER Micro Plan Survey
Our annual gathering of data on plans with less than $5 million in assets points to a promising market for advisers
Retirement Industry People Moves

Schroders announces North American distribution hires; Senior consultant joins PEI; Wise Rhino Group hires managing director; and more. 

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

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

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