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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. Republican Tax Bill Expands 529s and HSAs, Limits Changes to Retirement
2. PLANADVISER'S 2025 Retirement Plan Adviser of the Year Winners
3. Senate Bill Would Expand Retirement Plan Access to Younger Americans
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 Webinars
PLANADVISER is pleased to present the next edition of our Industry Intelligence roundup. This week, we are featuring webinars 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.
Sponsored by Commonwealth | June 10, 2025
The 4-1-1(k): A SECURE 2.0 Provision’s “Grand” Impact on Emergency and Retirement Savings
How big of a difference can $1K make? For retirement plan engagement, the answer could depend on how well RPAs and recordkeepers understand and communicate the relationship between short-term and long-term savings to plan sponsors and their benefit-eligible employees. Under the SECURE 2.0 Act, employees can withdraw up to $1,000 once a year from their traditional 401(k) retirement accounts for self-identified emergencies, without paying the 10% early withdrawal tax. Research and thought leadership from Commonwealth, BlackRock’s Emergency Savings Initiative, Compass Financial Partners, a Marsh & McLennan Agency LLC Company, and Voya Financial sheds light on the wide-ranging needs of employees in a geographically diverse workforce, and how a suite of emergency savings and liquidity options can best serve workers, and where the new provision fits into those options. This webinar will: ● Dive into the impacts of SECURE 2.0’s $1K withdrawal provision on retirement plan engagement ● Share the RPA and recordkeeper's points of view on the implementation and impact of emergency savings benefits ● Provide tangible action steps for attendees to consider adopting a proactive provision promotion approach for their teams All views and opinions expressed by panelists are their own and are not intended to be those of sponsoring or partner organizations.
June 11, 2025
Retirement Plan Advisers of the Year in Conversation
2025 Retirement Plan Adviser of the Year finalists and winners will talk about retirement plan sponsor and participant service, improving retirement plan access, mentoring and promoting equity in the adviser industry. Join us with your questions.
September 10, 2025
Retirement Income
Experts will share data about retirement income solutions for employer-sponsored defined contribution plans and discuss what is still needed to meet the needs of plan sponsors and participants. Hear how retirement income solutions have evolved and bring your questions.
December 10, 2025
Year in Review
Some of the top advisers of 2025 discuss their successes and challenges during the year. They’ll share their thoughts on changes in the retirement plan industry and what they’ve learned that could be helpful in the year ahead.
March 12, 2025
Understanding Adviser Value
We’ll present findings from the 2024 PLANADVISER Adviser Value Survey, highlighting key metrics that illustrate plan advisers’ impact on plan design and governance and what plan sponsors identify as the benefits of partnering with a retirement plan adviser. Listen as some of the top advisers discuss services they provide and strategies for showcasing adviser value to both current and prospective clients.
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