| New SEC Rule Impacts Adviser Reporting |
| “These amendments are an important step in a series of rulemakings to enhance the SEC’s monitoring and regulation of the asset management industry,” says SEC Chair Mary Jo White. “Requiring investment advisers to report this additional information will provide investors and the commission with a better understanding of the risk profile of each adviser and the industry as a whole.”
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| ERISA Lawsuit Calls Out TDF Fees and Revenue-Sharing |
| A participant in Safeway Inc.’s 401(k) plan is suing the plan sponsor, its benefits committee and its recordkeeper for breaching their fiduciary duties and/or engaging in ERISA prohibited transactions.
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| Staying Within the Fiduciary Bounds |
| Does the new fiduciary rule create a fine line between education and advice?
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| Strategic Insight Research Ties DOL Rule to Institutional Pricing |
| A new study from Strategic Insight predicts the DOL fiduciary rule will accelerate demand for institutional pricing of mutual funds sold through intermediaries.
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