PLANADVISERdash – September 1, 2021

Weekday news and analysis for retirement plan advisers

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.	DOL Issues Final Retirement Security Rule
2.	Surprising Retirement Considerations
3.	FTC Votes Through Noncompete Rule

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

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.

September 24, 2024

DCIO and Investment Menu Survey

They say the devil is in the details. That’s particularly true when it comes to the investment menu and its results to participants for years—sometimes decades—of their lives. This PLANADVISER webinar will consider 2024 trends in DCIO offerings and best practices for the modern-day plan adviser.