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Weekday news and analysis for retirement plan advisers
Wednesday, April 07, 2021
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Practice Management
When a 'JumpStart' Is Needed
Some advisers are working to redefine what the typical entrance into the brokerage and advisory world looks like, shifting the focus away from sales quotas and business development and toward a more holistic, humanistic way of doing business. 
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Compliance
Bellwether IBM Stock Drop ERISA Lawsuit Settlement Published
The case history of IBM v. Jander shows the importance, but also the limitations, of Supreme Court rulings in fiduciary breach cases involving ERISA.
Today’s Most Read
1. ‘Secure Act 2.0’ Likely to Become a Reality
2. Excessive Fee Lawsuits Expected to Continue to Rain Down on Plans
3. Stimulus Bill Extends Some Provisions of the CARES Act
Upcoming Webinar: ESG and ERISA Plans
We will discuss how asset managers are putting environmental, social and governance investing themes to work. Particular attention will be paid to the regulatory environment and the potential to pursue greater investment returns by seeking out companies with higher ESG ratings.
A New Telling of the Story of Persistent Inequality
The interest rate regime embraced to combat strong inflation of the mid-1970s and early 1980s has had unintended consequences—including the development of historic levels of wealth inequality. Yakov Feygin says there’s a lot that can be done to turn things around.
The Latest Word on ESG
In terms of plan investing, fiduciary duty continues to come first.
Market Mirror Market Mirror Graph

Tuesday, the Dow closed 96.95 points (0.29%) lower at 33,430.24, the Nasdaq was down 7.21 points (0.05%) at 13,698.38, and the S&P 500 decreased 3.97 points (0.10%) to 4,073.94. The Russell 2000 climbed 63.36 points (2.89%) to 2,259.15, and the Wilshire 5000 was up 9.84 points (0.02%) at 42,815.64.

The price of the 10-year Treasury note increased 26/32, bringing its yield down to 1.654%. The price of the 30-year Treasury bond climbed 28/32, decreasing its yield to 2.320%.

Industry Intel Roundup
Featured Webcasts
PLANADVISER is pleased to present the next edition of our Industry Intelligence roundup. This week, we are featuring webcasts sponsored by experienced providers in the industry. The content was created to educate, inform and offer ideas for plan sponsors regarding plan design, investing, administration and compliance.
Sponsored by Franklin Templeton
The Growth of Personalization in Retirement Plans: Product vs Solution
Products have not had strong traction in the retirement space, mainly because they don’t meet the needs or expectations of plan participants. Furthermore, with a lack of innovation since the rollout of target date funds, plan participants are seeking a more solutions-based approach. This webinar is geared for those financial professionals that are seeking to learn more about the future of personalization, retirement income and participant education.
2021 Practice Progress Series: Succession Planning—and How to Retire as an Adviser
Financial advisers focused on serving retirement plans and individual retirement account (IRA) owners are used to talking about the financial transition their clients will eventually make, from earning a steady income to living off of accumulated assets and investments. For any number of reasons, there is much less attention paid to advisers’ own long-term financial futures, and, indeed, many advisers nearing the traditional retirement age have yet to seriously plan their next step. Many know their business is valuable, but extracting that value is another question, and so is the issue of what happens to clients. This hourlong editorial webinar will bring together speakers who are experienced in this challenging topic. The panel will address the succession planning topic from start to finish—covering the process of valuing an established firm, finding a potential internal or external successor, and then exiting the business.
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