Newsdash Insight on Plan Design & Investment Strategy from PLANSPONSOR
November 27th, 2019

New SEC Advertising Regulations Warrant Caution

The new principles-based approach to advertising regulations may allow advisers to better tell their stories to prospective clients, but it still requires careful recordkeeping and accurate statements. Read more >
SCOTUS Passes on Case Regarding Group Annuity in Retirement Plan
The high court’s decision lets stand a ruling that Great-West, as a non-fiduciary party in interest, was not liable for alleged ERISA violations. Read more >
SEC Gives Nod to More Nontransparent, Actively Managed ETFs
One source says he was not surprised by the SEC’s latest move, as earlier this year, the SEC gave permission to Precidian to offer a nontransparent, actively managed ETF: “Once that happened, it seemed they would get comfortable with other variations.” Read more >
One-on-One Meetings
Of the six options that respondents to the 2019 PLANSPONSOR Participant Survey could choose from for their “preferred education communication vehicle,” the list-topper, with 30% of votes, was one-on-one adviser sessions. If an advisory firm has decided to offer such meetings, what logistics should it keep in mind? Read more >
MOST READ ARTICLES
1
15th Anniversary of Retirement Plan Adviser of the Year
2
Inheritance Pathways Exist to Replace Stretch IRAs
3
Fidelity Wins Dismissal of FundsNetwork Revenue Sharing Challenge
4
‘Stretch IRAs,’ Multigenerational Inheritance and the SECURE Act
5
Weighing 403(b)s versus 401(k)s for Nonprofits
Sponsored message from Cuna Mutual Retirement Solutions
Millennial Myths & Realities
Strategies for Strengthening and Expanding Client Relationships. Read more >
Insurance Companies Are Experiencing Investment Challenges
According to research from Cerulli Associates, U.S. insurance companies, which have more than $4 trillion in mostly investment-grade bonds in their portfolios and more than $6.2 trillion in total invested assets, view the late stage of the credit cycle as “very concerning” as compared to other investment concerns, such as the low-interest-rate environment, market volatility and market liquidity. Read more >
Market Mirror
Tuesday, the Dow closed 55.21 points (0.20%) higher at 28,121.68, the NASDAQ increased 15.45 points (0.18%) to 8,647.93, and the S&P 500 climbed 6.88 points (0.22%) to 3,140.52. The Russell 2000 was up 2.33 points (0.14%) at 1,624.23, and the Wilshire 5000 gained 68.22 points (0.21%) to finish at 32,028.42. The price of the 10-year Treasury note increased 23/32, bringing its yield down to 1.739%. The price of the 30-year Treasury bond climbed 28/32, decreasing its yield to 2.177%.
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