| The DOL’s Fiduciary Race Ahead of 2021 |
| There is precious little time remaining for the proposal and adoption of any new advisory industry conflict of interest rules that the DOL hopes to make effective during this presidential administration.
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| Is Your Advisory Business Market-Ready? |
| There are many succession options for retirement plan advisers planning for their own futures, but whatever route an owner may take, advanced planning will improve the process.
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| What Is a DOL Adviser Investigation Like? |
| The number of Department of Labor investigations of financial advisers has steadily increased over the years; here is a primer on the DOL’s sources of authority, and what to expect when examiners come knocking.
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| An IPS ‘Sets’ The Standard |
| I’m new as an adviser, and while I’ve read that an investment policy statement, or “IPS,” isn’t required under ERISA [Employee Retirement Income Security Act], it seems like many of our clients have them. What do I need to know about them?
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| Now Who Is a Fiduciary? |
| How the SEC’s best interest rule could affect plans, IRAs.
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| The SEC’s Standard on IRA Rollovers |
| Advisers must act in investors’ best interest.
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| Market Mirror |
| Thursday, the Dow closed 105.94 points (0.37%) higher at 28,621.39, the NASDAQ increased 69.51 points (0.78%) to 9,022.39, and the S&P 500 was up 16.53 points (0.51%) at 3,239.91. The Russell 2000 was virtually unchanged at 1,677.67, and the Wilshire 5000 gained 162.13 points (0.49%) to finish at 33,006.67.
The price of the 10-year Treasury note was unchanged, with its yield at 1.904%. The price of the 30-year Treasury bond increased 24/32, bringing its yield down to 2.324%.
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