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Weekday news and analysis for retirement plan advisers
Monday, October 11, 2021
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Deals & People
Retirement Industry People Moves
Impax appoints Ed Farrington as head of distribution for North America; Prudential forms new Prudential Retirement Strategies business; Northern Trust appoints Gary Paulin as head of global strategic solutions; and more.
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WEBINAR TODAY: Lessons From 15 Years of PLANADVISER Magazine
Register now for the October edition of the 2021 Practice Progress webinar series, where we will be looking back over 15 years of adviser industry research, asking how things have changed and what comes next.
Today’s Most Read
1. TIAA Faces New Managed Account Rollover Complaint Months After Settling SEC Charges
2. Plaintiffs Claim Deloitte Breached ERISA Prudence Duties
3. DOL Announces Anticipated ESG Fiduciary Investing Rule
Adviser Marketing Spend Up During COVID-19 Pandemic
Though they spent more on marketing overall this year, financial advisers have questions about the return on marketing spend.
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PANC 2021: Investigation Lessons Learned From Experience
One tip is that being in a state of audit-readiness is essential for retirement plan advisers and their plan sponsor clients—both for peace of mind and to make a good impression with regulators.
Cybersecurity and ERISA
DOL guidance should prompt clients to ask for help with compliance.
Court Rebuffs DOL’s ESOP Valuation Case Against Engineering Firm
One commentator who works in the employee stock ownership plan space says the ruling represents “one of the most comprehensive rebukes of DOL arguments” in such a valuation case.
Market Mirror Market Mirror Graph

Friday, the Dow was down 8.69 points (0.03%) at 34,746.25, the Nasdaq lost 74.48 points (0.51%) to finish at 14,579.54, and the S&P 500 decreased 8.42 points (0.19%) to 4,391.34. The Russell 2000 fell 17.00 points (0.76%) to 2,233.09, and the Wilshire 5000 closed 130.90 points (0.29%) lower at 45,654.53.

The price of the 10-year Treasury note decreased 24/32, bringing its yield up to 1.607%. The price of the 30-year Treasury bond fell 28/32, increasing its yield to 2.163%.

For the week ending October 8, the Dow gained 1.22%, the Nasdaq was up 0.09%, and the S&P 500 finished 0.79% higher. The Russell 2000 decreased 0.38%, and the Wilshire 5000 increased 0.65%.

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