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Weekday news and analysis for retirement plan advisers
Wednesday, November 03, 2021
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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 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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Deals & People
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Data & Research
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. Human Interest Offers 3% Cash Back for New Retirement Savers
2. Franklin Templeton to Acquire Putnam for $925 Million
3. Retirement Industry People Moves
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.
Survey Says, No Turning Back: Accumulation and Beyond in Retirement Plans
Fasten your seatbelts. The first generation of 401(k) investors is retiring—and the rubber is hitting the road. The release of our 10th Annual Retirement Savers Survey reveals a turning point in plan design. Will you and your plan-sponsor clients be ready? Most participants nowadays expect automatic features, target-date defaults and matches as plan features. And withdrawal strategies and in-plan retirement income features are gaining momentum. What do savers say they need to retire well? Join us for a look at the retirement journey—where we’ve been, where we’re going and what opportunities and challenges the next phase might bring. Featured Speakers: • Glenn Dial, Senior Retirement Strategist • Christy Poe, Vice President, Regional Retirement Consultant
2023 PA Practice Progress Webinar Series: Team Building
Assembling the right team and ensuring each member has a path to grow is essential to boosting an advisory firm’s success. Recently, firms have sought to improve staff diversity, and some research shows a more diverse team contributes to stronger business results. Join PLANADVISER’s third iteration of its 2023 Practice Progress webinar series to learn the value of mentorship programs and how to establish one, optimal practices for developing diverse teams and how to define success for an advisory team and its members.
2023 PA Practice Progress Webinar Series: DCIO
During a gathering of advisers and providers last year, speakers discussed how defined contribution investment only is out and co-distribution is in. Adapting to a changing marketplace, through more personalization and partnerships, is critical for advisers. Join PLANADVISER for a discussion about the future of DCIO firms and strategies, the important role partnerships can play and how some firms are assigning more specialists to a relationship, serving clients at all levels.
2023 PA Practice Progress Webinar Series: Participants
What do participants want from retirement plan advisers? How can advisers best meet their needs? As retirement plan advisers work more closely with participants and perhaps add wealth management to their practices, what do they need to keep in mind to fulfill their fiduciary duties? These questions and more will be answered in the final webinar in PLANADVISER’s Practice Progress series for 2023.
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