PLANADVISER Weekend Newsdash
Week ending October 11th, 2019

Happy Friday, readers! This weekend’s newsletter compiles recent coverage of the various retirement plan advisory industry regulators, particularly the Department of Labor and the Securities and Exchange Commission. We also examine reports that the New York State Department of Financial Services is planning to investigate sales of annuities in the 403(b) retirement plan market. We hope you will share some of what you read with a client or colleague. 

Editor's choice
While Popular, Default Electronic Delivery of Plan Documents Irks Some
Retirement plan service providers generally support making electronic delivery of documents the default, but print communication industry organizations and some consumer groups say the paper default should remain. Read more >
New York Financial Services Regulator Starts Investigation of Annuities in 403(b)s
It is looking into whether agents are engaging in deceptive and unfair sales practices, such as failing to appropriately disclose product costs and merits. Read more >
Co-Founder of XY Planning on Why His Firm Has Sued the SEC Over Reg BI
The rule blurs the line between advice and sales, potentially hurting both advisers and investors, he says. Read more >
Senate Confirms Eugene Scalia as Labor Secretary
Eugene Scalia is known for having worked in the trenches of a number of labor issues for many years, and experts suggest he could have a big influence on the DOL’s agenda. Read more >
Risk Management for Advisers
Expert attorneys and fiduciary insurance carriers demonstrate how advisers can put their best foot forward. Read more >
MOST POPULAR STORIES
Barnabas Health Latest to Settle ERISA Suit

A settlement has been struck in an ERISA lawsuit involving the New Jersey-based health care provider a little more than a year after a judge allowed the case to proceed past the defense’s motion to dismiss.

The Role of the 401(k) in Today’s Tight Labor Market

Designing a retirement plan that meets the needs of the business—and today’s employees—requires a fresh outlook.

Olin Corp. Soundly Defeats ERISA Lawsuit

The judge’s opinion sides firmly against the arguments made by the plaintiffs in the case, who are among the many litigants currently represented by the law firm Capozzi Adler.

Excessive Fee ERISA Complaint Targets Cook Group

The large medical-device-manufacturing organization is facing familiar fiduciary breach allegations in federal court in Indiana.

Retirement Industry People Moves

SageView Advisory Group acquires Los Angeles-based wealth management firm; OneAmerica brings aboard new head of retirement business development; NFP appoints surety leader in Canada; and more.

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