June 30th, 2015

PLANADVISER Changes Top 100 Listing We are excited to announce changes to the PLANADVISER Top 100 Retirement Plan Advisers listing methodology. Follow the link to learn more. Read more > Broad SEC Initiative Targets RIAs and Brokers The Securities and Exchange Commission has launched a multi-year retirement-targeted industry reviews and examinations initiative, known as “ReTIRE.” According to the SEC, the ReTIRE initiative will focus examination staff on registered investment advisers and broker/dealers that provide services and investments to individual retirement savers.  Read more > Court Dismisses Part of Great-West Annuity Challenge The U.S. District Court for the District of Colorado handed Great-West Annuity and Life Insurance Company a small victory by dismissing part of a class action suit filed by a retirement plan participant invested in one of the firm’s annuity products—but key segments of the challenge were permitted to proceed. Read more > Introducing Automatic Enrollment to K-12 403(b)s Jessica Kovachick, registered principal and retirement plans specialist at The Legend Group, told attendees at the National Tax-Deferred Savings Association 403(b) Summit in Nashville, among 403(b) plans for public school systems, only about 30% of eligible participants are participating. “That is a part of this nationwide retirement crisis too,” she said. Read more > MOST READ ARTICLES 1 Principal Continues Focus on Asset Management, ‘Jet Fuel’ of the Business 2 2023 Retirement Plan Adviser of the Year Finalists 3 With SECURE 2.0, the Cash Balance DB Plan May Be Back 4 Biden’s First Veto Keeps DOL’s ESG Rule in Place 5 Complying With the Custody Rule and the New Custody Proposal

Sponsored message from Riskalyze Using Risk to Manage Client Expectations One of the biggest challenges that advisers face when working with their clients is properly setting and managing expectations for portfolio returns. Learn how to gain ROI by talking about risk instead of returns, leading to greater practice efficiency, increased productivity and higher levels of client trust. Read more > Time to Rethink the Brokerage Option? In 2014, just 16% of Vanguard plans offered a self-directed brokerage option, with large plans somewhat likelier to offer the option. Fewer than 10,000 of Vanguard’s 3.6 million participants use the brokerage option. Read more > Differentiating Yourself by Being Candid Shari Harley, founder of Candid Culture and author of the book “How to Say Anything to Anyone,” contends every recurring client service frustration financial advisers have is predictable and treatable. “Ask more. Assume less,” is one of Harley’s mantras. Read more > Edward Jones, Transamerica Form Distribution Partnership Transamerica has formed a partnership with Edward Jones whereby Transamerica’s retirement solutions will be sold by Edward Jones advisers. Read more > Portfolio Service Helps RIAs Enter Institutional Market The new Institutional Intelligent Portfolios program from Charles Schwab is designed specifically to help independent registered investment advisers break into new market segments and scale up their businesses in an efficient way. Read more > Smarsh Offers Digital Marketing Tool for Advisers Smarsh, an archiving provider, has launched Advisor Launchpad, a digital marketing tool for financial advisers. Smarsh says advisers need the tool because many rely on outdated marketing practices to grow their business. Read more >

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