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Wednesday, November 03, 2021
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2021 PRACTICE PROGRESS SERIES
Upcoming Webinar: How Has the PEP Marketplace Developed in Year One?
The topic of pooled employer plans (PEPs) has been in the headlines of PLANADVISER Magazine and PLANADVISER.com since the passage of the Setting Every Community Up for Retirement Enhancement (SECURE) Act in late 2019. With the formal launch of the PEP marketplace in early 2021, this webinar will offer a chance to take stock of how much progress has been made so far.  And, as always, we will consider what comes next.
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Labor Issues Highlight Importance, Evolution of Retirement Benefits
For several decades, U.S. workers have been much less active in terms of union participation, and this has had a dramatic impact on not only wages and benefits within unions, but also on what is happening in the private sector.
Today’s Most Read
1. The 2022 Retirement Landscape Takes Shape
2. Asset Managers Weigh In on DC Plan Investment Trends
3. Launch Announced for MarylandSaves State-Run Retirement and Emergency Savings Program
Sponsored by Franklin Templeton
Voice of the American Worker
Franklin Templeton’s survey results indicate the need for financial wellness personalization.
IRS Summarizes Retirement Plan Hardship Withdrawal Rules
An updated Issue Snapshot reflects changes made by the Bipartisan Budget Act of 2018 and subsequent IRS regulations.
Fiduciaries Accused of Shortchanging Participants in ESOP Sale
A Department of Labor lawsuit says the fiduciaries allowed the ESOP's ownership shares to be sold for less than market value to benefit themselves and two board member's children.
Op-Ed: ERISA Prudence Demands Healthy ESG Skepticism
Neal Shikes agrees that ESG factors can be an important part of institutional investors’ methodologies, but he also says retirement plan fiduciaries should be skeptical of some claims about what todays’ ESG investments can actually deliver when it comes to confronting climate change.
A Balanced Fund or a TDF?
Weighing their relative merits is an important task for advisers and clients.
Market Mirror Market Mirror Graph

Tuesday, the Dow climbed 138.79 points (0.39%) to 36,052.63, the Nasdaq closed 53.69 points (0.34%) higher at 15,649.60, and the S&P 500 increased 16.98 points (0.37%) to 4,630.65. The Russell 2000 was up 3.74 points (0.16%) at 2,361.86, and the Wilshire 5000 gained 71.57 points (0.15%) to finish at 48,111.71.

The price of the 10-year Treasury note was up 1/32, decreasing its yield to 1.548%. The price of the 30-year Treasury bond was unchanged, with its yield up to 1.959%.

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.
2021 Practice Progress Series: Steps to Advance Diversity in the World of Finance
Successful advisers say mentorship is a key to solving the industry’s clear and present diversity problem. There are other strategies that work as well, including creating compensation frameworks that take into account the challenges of moving from a salary or hourly-based position to a job frequently involving commissions and potentially complex, incentive-based pay structures. This hourlong editorial webinar will examine these and other important topics meant to help advisers address the lack of diversity in the financial advisory field.
Sponsored by State Street Global Advisors
Managing the Squeeze: How Advisors Can Navigate a Compressing Industry, Build Firm Value and Prepare for the Future
The meeting of market conditions and appetite has led to 2021 being the busiest period in retirement advisory firm M&A history, with more than 45 deals already completed heading into the fourth quarter. In this webinar, hear how to leverage this trend and what to expect in 2022. Our expert panel, representing multiple industry perspectives, will discuss: Drivers of retirement and wealth industry consolidation Best practices from active acquirers Impacts to independent firms Opportunities for building firm value from within
Sponsored by American Century Investments
Washington DC Update with Brad Campbell
In year one of the Biden presidency, the administration moved quickly to chart its own course on the retirement landscape. Join our discussion as ERISA expert Brad Campbell shares the very latest on major topics with important implications for plan fiduciaries: ESG Investments in Retirement Plans SECURE Act 2.0 Tax Proposals Affecting Retirement Benefits The Fiduciary Rule
Sponsored by Allspring
Change is Coming – Are You Ready? Learnings from recent survey results
Nearly 330 plan sponsors were surveyed on plan and participant needs with results highlighting new trends and specific actions advisors can take to increase plan sponsor satisfaction. Join Ron Cohen and Gary Shipper from Allspring Global Investments as they highlight findings from our new Science of Satisfaction survey and share new insights that you can use in your practice to demonstrate your value, increase your effectiveness, and retain and grow your most valuable relationships. Key trends of discussion: -What impact did the COVID-19 pandemic have on plan sponsors, and what changes would they like to make going forward? -How satisfied are plan sponsors with their advisors? What steps can advisors take to help ensure sponsor satisfaction? -What are the emerging trends most important to advisors? -What do sponsors think are of highest importance to employees? How can advisors help sponsors achieve their goals?
2021 Practice Progress Series: How Has the PEP Marketplace Developed in Year One?
The topic of pooled employer plans (PEPs) has been in the headlines of PLANADVISER Magazine and PLANADVISER.com since the passage of the Setting Every Community Up for Retirement Enhancement (SECURE) Act in late 2019. With the formal launch of the PEP marketplace in early 2021, this webinar will offer a chance to take stock of how much progress has been made so far. We will examine which PEPs and pooled plan providers (PPPs) are finding early success, and why they are standing out. And, as always, we will consider what comes next.
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