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Wednesday, November 09, 2022
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In Practice
Regulators: Crypto, Fake IRAs Increasingly Used to Scam Older Investors
Representatives from NASAA, the SEC, and FINRA spoke about the need for financial advisers and firms to be trained to notice more intelligent, and increasingly bold scams from fraudsters.
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Adviser Product Partnerships
Schwab Advisor Services expands ability for matchmaking between adviser firms; TradeUP adds fractional shares to its online trading patform; Envestnet rolls out enhancements across its ecosystem; and more.
Today’s Most Read
1. PEP Pros and Cons
2. Evaluating a Retirement Income ‘Easy Button’
3. NAPA Head Warns of 401(k) Revenue Grab by Policymakers
IRS to Permit Determination and Termination Letters for 403(b) Plans
Beginning in June 2023, the IRS will allow 403(b) plans to apply for determination and termination letters, similar to 401(a) plans.
ESG Interest ‘Relatively Weak’ for Do-It-Yourself Retirement Investors
Among new, self-directed DC retirement plan participants, ESG fund allocation is ‘relatively modest when offered in the core menu,’ according to research from PGIM and EBRI.
Seeking Your Opinion in the PLANADVISER Retirement Plan Adviser Survey
PLANADVISER invites advisers to take a relatively brief survey about their practice and perceptions of investment managers and recordkeepers. The Retirement Plan Adviser (RPA) Survey seeks to gather individual adviser sentiment about industry trends and the investment managers and DC plan recordkeepers with which they have worked over the past two years. The questionnaire should take around 15 minutes to complete. It is intended to be filled out by RPAs servicing DC plans (i.e., 401(k), 403(b), etc.). All responses will remain confidential and will only be reported in aggregate. As a thank you survey respondents can select an Amazon gift card or a donation to a charity in your name upon completion of the survey.
Market Mirror Market Mirror Graph

Tuesday, the Dow gained 333.83 points (1.02%) to close at 33,160.83, the Nasdaq increased 51.68 points (0.49%) to finish trading at 10,616.20 and the S&P 500 gained 21.31 points (0.56%) to close at 3,828.11. The Russell 2000 lost 0.88 points (0.05%) to close at 1,808.93 and the Wilshire 5000 gained 192.06 points (0.51%) to close at 38,151.44. The price of the 10-year Treasury note increased 6/32 bringing the yield down to 4.133%. The price of the 30-year Treasury bond increased 28/32, bringing the yield down to 4.276%.

Industry Intel Roundup
Featured Thought Leadership
PLANADVISER is pleased to present the next edition of our Industry Intelligence roundup. This week, we are featuring thought leadership 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.
Keep up to date with PLANADVISER’s Industry Intelligence
Stay ahead of industry news and trends by checking this page regularly for the latest sponsored thought leadership.
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