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Wednesday, September 01, 2021
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Late last December, the Securities and Exchange Commission (SEC) updated the Investment Advisers Act of 1940 rules governing investment advisers’ use of advertisements and compensation to solicitors. The revision, Rule 206(4)-1, also known as the “marketing rule,” took effect on May 4.
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SEC Makes Good on Cybersecurity Enforcement Pledge
Earlier this year, the agency published a list of 2021 examination priorities that prominently featured issues pertaining to cybersecurity, and now it has sanctioned eight firms for related cybersecurity failures.
Today’s Most Read
1. Most Claims Move Forward in Suit Over Aon CITs in 401(k) Plan
2. Northern Trust Accused of Fiduciary Breaches Related to AutoZone 401(k)
3. New Bill Aims to Solve for the Retirement Plan Coverage Gap
Sponsored by Franklin Templeton
Retirement Reimagined
To see how retirement is evolving, view results from Franklin Templeton’s “Voice of the American Worker” survey. Read More.
Old Dogs, New Tricks: Training for Veteran Advisers Pays Off
A new case study suggests even advisers with decades of industry experience can attain measurable growth improvements with the short-term addition of training, coaching and peer accountability.
Without a Financial Plan, U.S. Workers Grapple With Debt
Meanwhile, the IRI says most workers nearing retirement haven’t saved enough.
Sponsored by Franklin Templeton
Retirement Survey Results
Franklin Templeton’s “Voice of the American Worker” survey reveals how the concept of retirement is changing today. Read More.
SEC Eyes Data Collection Conflicts in New Comment Request
SEC Chair Gary Gensler says the emergence of new investment technologies that embrace gamification and collect user data raises questions as to whether investors are appropriately protected.
Market Mirror Market Mirror Graph

Tuesday, the Dow closed 39.11 points (0.11%) lower at 35,360.73, the Nasdaq decreased 6.66 points (0.04%) to 15,259.24, and the S&P 500 was down 6.11 points (0.13%) at 4,522.68. The Russell 2000 gained 7.78 points (0.34%) to finish at 2,273.77, and the Wilshire 5000 lost 66.96 points (0.14%) to finish at 46,979.61.

The price of the 10-year Treasury note was down 2/32, bringing its yield up to 1.302%. The price of the 30-year Treasury bond decreased 27/32, increasing its yield to 1.924%.

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.
Sponsored by Lincoln Financial
Retirement Plan Design: Don’t Forget a Plan For Retirement
Participants not only need to save in their retirement plan—they need a plan for retirement. In-plan guaranteed retirement income can boost their retirement readiness and benefit your clients. Their success is your success—be proactive by delivering value through addressing retirement transitions. It’s critical to address retirement transitions. In this session, we’ll focus on participant needs and how you can bring retirement income in-plan. We’ll discuss: Evolution of DC plans Consumer demand for in-plan guaranteed income Benefits to plan sponsors and participants Guaranteed income options, with an in-depth review of guaranteed lifetime withdrawal benefit designs
Sponsored by Franklin Templeton
Financial Independence is the New Retirement
“Retirement” has become an antiquated term, and most workers are seeking a future that suits their personal goals. Employees are more interested in achieving financial independence and, with it, the freedom to pursue whichever lifestyle they desire. In this webinar you’ll hear from a panel of experts on how advisers can adjust their approach to employer sponsored retirement plans to better support employers and employees in their pursuit of financial independence.
2021 Practice Progress Series: How to Lose a Client (or Not)—Lessons Learned From Unsuccessful Advisory Relationships
Advisers will share their stories of unsuccessful client relationships, with an eye on helping their peers and colleagues avoid similar issues in the future. Beyond some of the obvious issues that can arise, the panel will detail some unexpected challenges and miscommunications that can cause friction in the client-adviser relationship.
2021 Practice Progress Series: The Future of Health Care—and What It Means for Retirement Planning
As health care costs rise, there is more overlap than ever between health decisions and financial decisions. So much is obvious to forward-thinking financial advisers, but what is less clear is where health care itself is heading in the 21st century. Sponsored by American Century Investments
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