Planadviser Logo
Weekday news and analysis for retirement plan advisers
Monday, December 27, 2021
Exclusives | Awards | Research | Events
From the Magazine
‘Window’ of Opportunity
If the participant may invest in certain unregistered securities, ownership of such securities can result in the plan incurring taxable income called unrelated business taxable income. To the extent an adviser provides investment advice in connection with brokerage windows, he may very well be acting as a fiduciary for purposes of ERISA and thus must comply with it when advising the named fiduciary.
News Feed Quick Links
Deals & People
Practice Management
Products
Client Service
Data & Research
Investing
Compliance
Nonenforcement Policies
Some of the DOL’s prohibited transaction exemptions apply now.
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
Cybersecurity Considerations
How to select and monitor recordkeepers.
Provider Recommendations
Does relying on certain ‘go-to’ providers have implications under ERISA?
Cybersecurity and ERISA
DOL guidance should prompt clients to ask for help with compliance.
Now a Fiduciary
A prudent process for rollover advice.
Rollovers and Fiduciaries
Recent DOL guidance expands the definition of fiduciary advice.
Caution Needed Regarding Rollovers
Many recommendations may now be investment advice.
Market Mirror Market Mirror Graph

Editor’s Note: Market data updates will resume after the New Year holiday.

Did someone forward you this newsletter?
Sign up here to get PLANADVISER Dash directly in your mailbox!
rss icon twitter icon linkedin-in icon facebook icon
ISS MEDIA logo
Unsubscribe | Manage Subscriptions | Contact Us | Privacy Policy | Advertise
©2021 Asset International, Inc. All rights reserved.
702 King Farm Boulevard, Suite 400, Rockville, MD 20850