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Weekday news and analysis for retirement plan advisers
Wednesday, March 02, 2022
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ERISA VISTA
An Objectivity Lesson
The starting place for distinguishing between investment advice and education is the DOL’s Interpretive Bulletin 96-1. While that guidance applies to defined contribution plans, it is informative for the IRA rollover scenario.
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Supreme Court Won’t Consider CalSavers ERISA Preemption Lawsuit
The move by the high court stops an advocacy organization’s effort to halt the program, which provides workplace retirement savings for private sector workers whose employers do not offer a retirement plan.
Today’s Most Read
1. Republican Tax Bill Expands 529s and HSAs, Limits Changes to Retirement
2. PLANADVISER'S 2025 Retirement Plan Adviser of the Year Winners
3. Senate Bill Would Expand Retirement Plan Access to Younger Americans
Life Happens
When participants have no choice but to draw from their retirement plan.
Record Diversity Additions and Scholarship Awards for CFP Board
The increase in gender and racial diversity among CFP professionals supports the board’s goal of increasing public access to competent and ethical financial planning.
High Hopes for Legislative Progress in Late 2022
Taking a cue from the process that led to the adoption of the SECURE Act in late 2019, one retirement industry policy advocate says the odds are good for passage of retirement-focused legislation by the end of the year. 
Market Mirror Market Mirror Graph

Tuesday, the Dow dropped 597.65 points (1.76%) to 33,294.95, the Nasdaq lost 218.94 points (1.59%) to finish at 13,532.46, and the S&P 500 closed 67.68 points (1.55%) lower at 4,306.26. The Russell 2000 decreased 39.58 points (1.93%) to 2,008.51, and the Wilshire 5000 fell 678.40 points (1.53%) to 43,580.81.

The price of the 10-year Treasury note increased 32/32, bringing its yield down to 1.720%. The price of the 30-year Treasury bond climbed 1 25/32, decreasing its yield to 2.108%.

Industry Intel Roundup Featured Webinars
PLANADVISER is pleased to present the next edition of our Industry Intelligence roundup. This week, we are featuring webinars sponsored by or featuring experts in the industry. The content was created to supply actionable insights to retirement plan advisers regarding client service and practice management.
Sponsored by Commonwealth | June 10, 2025
The 4-1-1(k): A SECURE 2.0 Provision’s “Grand” Impact on Emergency and Retirement Savings
How big of a difference can $1K make? For retirement plan engagement, the answer could depend on how well RPAs and recordkeepers understand and communicate the relationship between short-term and long-term savings to plan sponsors and their benefit-eligible employees. Under the SECURE 2.0 Act, employees can withdraw up to $1,000 once a year from their traditional 401(k) retirement accounts for self-identified emergencies, without paying the 10% early withdrawal tax. Research and thought leadership from Commonwealth, BlackRock’s Emergency Savings Initiative, Compass Financial Partners, a Marsh & McLennan Agency LLC Company, and Voya Financial sheds light on the wide-ranging needs of employees in a geographically diverse workforce, and how a suite of emergency savings and liquidity options can best serve workers, and where the new provision fits into those options. This webinar will: ● Dive into the impacts of SECURE 2.0’s $1K withdrawal provision on retirement plan engagement ● Share the RPA and recordkeeper's points of view on the implementation and impact of emergency savings benefits ● Provide tangible action steps for attendees to consider adopting a proactive provision promotion approach for their teams All views and opinions expressed by panelists are their own and are not intended to be those of sponsoring or partner organizations.
June 11, 2025
Retirement Plan Advisers of the Year in Conversation
2025 Retirement Plan Adviser of the Year finalists and winners will talk about retirement plan sponsor and participant service, improving retirement plan access, mentoring and promoting equity in the adviser industry. Join us with your questions.
September 10, 2025
Retirement Income
Experts will share data about retirement income solutions for employer-sponsored defined contribution plans and discuss what is still needed to meet the needs of plan sponsors and participants. Hear how retirement income solutions have evolved and bring your questions.
December 10, 2025
Year in Review
Some of the top advisers of 2025 discuss their successes and challenges during the year. They’ll share their thoughts on changes in the retirement plan industry and what they’ve learned that could be helpful in the year ahead.
March 12, 2025
Understanding Adviser Value
We’ll present findings from the 2024 PLANADVISER Adviser Value Survey, highlighting key metrics that illustrate plan advisers’ impact on plan design and governance and what plan sponsors identify as the benefits of partnering with a retirement plan adviser. Listen as some of the top advisers discuss services they provide and strategies for showcasing adviser value to both current and prospective clients.
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