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Weekday news and analysis for retirement plan advisers
Friday, June 10, 2022
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COMPLIANCE
Don’t Be Afraid of DOL, IRS Audits
Assuming there is no malfeasance or criminal activity going on, the process of a DOL or IRS audit does not have to be unpleasant, even if minor issues are discovered.
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In Many Ways, ESG Is Nothing New
While often spoken about as a new or emerging phenomenon, the practice of building portfolios that address environmental, social and governance concerns goes back to the late 19th century.
Today’s Most Read
1. Carlyle Makes Growth Investment in CAPTRUST
2. Hub Launches 401(k) PEP for Small, Midsize Plan Sponsors
3. When Attorney-Client Privilege Applies Under ERISA
Investment Product and Service Launches
Nationwide adds two new death benefit features; Putnam Investments to launch five new investment strategies; and Broadridge launches multi-account collective investment trust fund.
Are Retirement Savings Tax Incentives Leaving the Middle Class Behind?
A new report details how today’s retirement savings structure and tax incentives fail to promote adequate retirement security for the middle class.
Building Practice Culture: The Next Generation
As an adviser, Janine Moore says those in the next generation must have access to good mentors and peers whom they can trust.
SEC Enforcement Approach Imperiled by 5th Circuit
While the ultimate outcome may be settled by the Supreme Court, the 5th Circuit’s ruling in Jarkesy v. SEC could have major ramifications for the regulator and its approach to punitive enforcement under the Dodd-Frank Act.
Market Mirror Market Mirror Graph

Thursday, the Dow dropped 638.11 points (1.94%) to close at 32,272.79, the Nasdaq was down 332.05 points (2.75%) to 11,754.23, and S&P 500 decreased 97.95 points (2.38%) to 4.017.82. The Russell 2000 fell 40.15 points (2.12%) to 1,850.86, and the Wilshire 5000 dropped 997.81 points (2.43%) to 40,051.87.
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