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Weekday news and analysis for retirement plan advisers
Wednesday, December 22, 2021
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COMPLIANCE
GAO Says SEC’s FINRA Oversight Lacks Sufficient Formality
A new report from the Government Accountability Office suggests the SEC’s performance metrics for FINRA do not measure progress in achieving a specific mission or set appropriate targets against which actual performance can be measured.
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An ESG Framework Here to Stay?
The DOL’s proposed rule on ESG investing supports broader use of green options in retirement plans and removes barriers put in place by the prior administration.
Today’s Most Read
1. Supreme Court Rules Against Northwestern University in Fee Case
2. Class Certified in 401(k) Plan Trustees’ Lawsuit Against John Hancock
3. What the Supreme Court’s Northwestern Ruling Means in Practice
Sponsored by PGIM Investments
The Myth About Target Date Fund Participant Inertia
Are target date fund participants truly inactive, evenduring market volatility?
SPACS, the Advisory Business and M&A Trends
Adam Dooley talks with PLANADVISER about the company he wants to buy with his new special purpose acquisition company, which he says should be focused on investment adviser practices.
A Shift in the Tech Landscape
The pandemic forces advisers to rethink their business models and integrate technology.
Plan Sponsor of the Year Nominations Close Monday!
The award is given in many categories to recognize all plan types, so any plan sponsor can be eligible.
How Consumption Changes as Retirement Progresses
The traditional view is that retirees prefer steady consumption as they age, but research suggests that spending declines as retirement progresses.
Market Mirror Market Mirror Graph

Tuesday, the Dow was up 560.54 points (1.60%) at 35,492.70, the Nasdaq gained 360.14 points (2.40%) to finish at 15,341.09, and the S&P 500 increased 81.21 points (1.78%) to 4649.23. The Russell 2000 climbed 63.07 points (2.95%) to 2,202.95, and the Wilshire 5000 closed 952.56 points (2.05%) higher at 47,392.08.

The price of the 10-year Treasury note was down 4/32, increasing its yield to 1.475%. The price of the 30-year Treasury bond decreased 27/32, bringing its yield up to 1.878%.

Industry Intel Roundup
Featured Partner Video
PLANADVISER is pleased to present the next edition of our Industry Intelligence roundup. This week, we are featuring videos from sources with authoritative knowledge about the industry. The content was created to educate, inform and offer ideas for plan sponsors regarding plan design, investing, administration and compliance.
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