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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. Class Certified in 401(k) Plan Trustees’ Lawsuit Against John Hancock
2. Supreme Court Rules Against Northwestern University in Fee Case
3. Another Stressed Union Pension to Get PBGC Support
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.
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