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Weekday news and analysis for retirement plan advisers
Wednesday, September 21, 2022
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Compliance
SEC Risk Alert Addresses Marketing Rule Compliance Examinations
PA-030421-SEC-1131402910-WEB
The SEC’s new marketing rule is set to take effect on November 4, and the agency’s Division of Examinations says it will be looking at whether policies and procedures “are reasonably designed to prevent violations.”
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Compliance
PANC 2022: Participant Mindsets and Communication Strategies
Financial stresses increase the need for advisers to communicate with participants.
Today’s Most Read
1. Retirement Industry People Moves
2. Maryland’s State-Run Retirement Program Officially Launches
3. Judge Rules in Favor of Goldman Sachs in ERISA Suit
Asset Flows Affect Plan Decisions
Clients can adjust for the economy to protect participant savings.
Equitable Launches Small Business 401(k) Program
Retirement Gateway for Small Business seeks to serve small and startup 401(k) plans by easing demand on plan administrators in several areas.
Greater Access
Adjust the plan—or craft a new one—to cover a client’s excluded workers.
Market Mirror Market Mirror Graph

Tuesday, the Dow lost 313.45 points (1.01%) to finish at 30,706.23, the Nasdaq closed 109.97 points (0.95%) lower at 11,425.05, and the S&P 500 decreased 43.96 points (1.13%) to 3,855.93. The Russell 2000 was down 25.34 points (1.40%) at 1,787.50, and the Wilshire 5000 fell 463.75 points (1.19%) to 38,558.48.

 

The price of the 10-year Treasury note was down 6/32, increasing its yield to 3.564%. The price of the 30-year Treasury bond fell 32/32, bringing its yield up to 3.572%.

Industry Intel Roundup
Featured Thought Leadership
PLANADVISER is pleased to present the next edition of our Industry Intelligence roundup. This week, we are featuring content from thought leadership authorities. The content was created to educate, inform and offer ideas for plan sponsors regarding plan design, investing, administration and compliance.
Sponsored by Nationwide
The Right Team Is Key to a Successful PRT
Interview with Paula Cole, vice president of Nationwide’s pension risk transfer business.
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