PLANADVISER Weekend Newsdash
Week ending November 3rd, 2017
NOTE FROM THE EDITOR
Happy Friday readers! It has been quite a week for the retirement planning industry, with important actions taken on both tax reform and the fiduciary rule process. With so many developments, we thought it might be helpful to step back and take the 20,000-foot view of where the retirement plan advisory industry is heading. Collected below is a series of research reports and news articles offering helpful context for understanding the fast pace of change. 
Practice Management
2017 PLANADVISER National Conference Polling Insights
Presented here are the results of several dozen live polling questions fielded at the 2017 PLANADVISER National Conference, gathered during three days of highly detailed discussion of industry trends, challenges and best practices. Read more >
RIA M&As Increased 23% in the Third Quarter
Mergers and acquisitions in the RIA industry are setting new records for the fifth consecutive year. Read more >
Fiduciary Fitness: When Advisers Tout Their Own Services
The Department of Labor “fiduciary” definition delineates how to recommend an adviser who will be a fiduciary to a plan, a participant or an individual retirement account, without acting as a fiduciary himself. But what if I recommend myself and my investment strategies? Read more >
Compliance Consult: Pooling Investors' Assets
Pooling investor assets results in a number of efficiencies including significant cost savings. That said, advisers should be aware of certain considerations that arise depending on the types of investors that participate in pooled investment funds. Read more >
Number of New RIAs Grew 75% Between 2012 and 2016
RIAs established in 2016 had $55 billion in assets under management. Read more >
Inclusion, Diversity and the Noble Purpose of Advisers
The principal of financial adviser inclusion and diversity at Edward Jones reflects on her job leading the advisory company’s revamped diversity efforts—informed by her own first career as an adviser in the field. Read more >
MOST POPULAR STORIES
Many Retirees Spending More Than They Expected

However, retirees spend 32% less than non-retirees.

Butch Lewis Act Said to Fail to Address Multiemployer Pension Deficits

The Pension Analytics Group says the act would only temporarily mask the deficits, as opposed to reducing them and that the only solution is to reduce benefits across the board.

First Deadline Looming for SEC Electronic Disclosure Compliance

When the SEC adopted the new Rule 30e-3 earlier this year, creating a new system for electronic delivery of fund information, it also established a transition disclosure period that starts in January, during which "funds that choose to implement the new delivery method for shareholder reports provide prominent disclosures in prospectuses and certain other shareholder documents that will notify investors of the upcoming change in transmission format.”

Bristol-Myers Squibb to Terminate $3.8 Billion Pension

It will offer lump sums to participants and transfer the remaining money to a group annuity contract from Athene Annuity and Life.

2019 Planning for DC Plan Clients

Willis Towers Watson offers nine actions for DC plan advisers to help their clients mitigate risks in 2019.

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

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

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