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Wednesday, September 07, 2022
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Balancing Act
As employers increasingly take a more holistic approach to the financial wellness of participants, there is growing awareness that, for many employees, retirement is just one of many financial demands they are juggling at any given time.
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DOL Extends Comment Period, Sets Hearing on QPAM Exemption Amendment
The complexity of the proposed reforms to the qualified professional asset manager exemption has given some experts pause.
Today’s Most Read
1. Nearly Half of Retirees Have No Formal Decumulation Strategy
2. Firefighter Pension Complaint Alleges Insider Trading by United Health Execs, Including Slain CEO
3. 401(k)s and the Courts in 2025
DOL Sues Couple, Alleges They Lost Millions in Profit-Sharing Plan
A prominent New Jersey couple faces allegations that they invested plan assets in companies in which they had significant financial interest and in ways that would personally benefit them.  
DOL Updates Guidance on Audit Independence Rules
Labor Department leadership says the update is designed to expand retirement plans’ access to highly qualified auditors and audit firms.
Previewing Plan Features
A tryout for the client removes any mystery before implementation.
Compliance for Wealth Managers
PTE 2020-02 cannot resolve all conflicts of interest.
SEC Flexes Regulatory Muscle with RIAs, Brokers in Focus
The SEC is warning advisers and broker/dealers that it is time to tighten up policies around conflicts of interest and ensure compliance with its Regulation Best Interest.
Market Mirror Market Mirror Graph

Tuesday, the Dow lost 173.14 points (0.55%) to close at 31,145.30, the Nasdaq sagged 85.96 points (0.74%) to finish at 11,544.91 and the S&P 500 sagged 16.07 points (0.41%) to close at 3,908.19. The Russell 2000 dropped 17.43 points (0.96%) to close at 1,792.32 and the Wilshire 5000 dwindled 181.28 points (0.46%) to end the day at 38,999.14.

The price of the 10-year Treasury note decreased 1 24/32 bringing the yield up to 3.346%. The price of the 30-year Treasury bond decreased 2 28/32 increasing the yield to 3.498%.
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 TIAA | December 11, 2024
Explore new research on DC plans and where they’re heading
Most of us can agree: retirement looks nothing like it did a generation ago. Americans are living longer, more active lives in retirement. In many cases they have more debt than previous generations of retirees. Given the decline in pension benefits, many workers will depend more on their defined contribution (DC) plans—and their employers—to fund retirement. How are HR and finance leaders thinking differently about retirement for their employees? What do they need to make progress? And how can consultants and providers help? Join TIAA and SageView Advisory Group for a conversation about the results of Building a Better Retirement, a new blind survey of 500 C-Suite leaders in HR and finance across 401(k), 403(b) and 457 plans. We’ll share what plan sponsors told us about: • Their plans’ purpose. • Their priorities going forward. • The biggest obstacles in their way. Survey insights will help you drive deeper conversations with clients about the future of their plans and their next steps to get there. This material is for informational or educational purposes only and is not fiduciary investment advice, or a securities, investment strategy, or insurance product recommendation. This material does not consider an individual’s own objectives or circumstances which should be the basis of any investment decision. TIAA-CREF Individual & Institutional Services, LLC, Member FINRA, distributes securities products. Annuity contracts and certificates are issued by Teachers Insurance and Annuity Association of America (TIAA) and College Retirement Equities Fund (CREF), New York, NY. Each is solely responsible for its own financial condition and contractual obligations. For Institutional Investor use only. Not for use with or distribution to the public. 4033262-0625-LP
December 18, 2024
Year in Review
Join PLANADVISER to hear from some of the top advisers of 2024 about the year that was. What did these advisers do that worked well? What projects fell on their face? What learnings will they take into the year ahead? Join us with your questions—and anecdotes—from a year in plan advising.
Sponsored by American Century Investments | December 5, 2024
11th Annual Retirement Survey: Changing Viewpoints
As retirement plans transition from supplemental savings vehicles to the primary income source for many retirees, plan participants’ perspectives on retirement have shifted significantly. While concerns about risks to their savings—like inflation, interest rates and market volatility—can ebb and flow, most consistently want help from their employers which can range from “encourage me to save” to “help me invest the right way. Similarly, plan sponsors say it’s important to protect the value of employee’s savings so they can generate income when they retire. However, they are concerned their employees aren’t saving enough. These—and other findings—will be the focus of this discussion with Glenn Dial, Senior Retirement Strategist at American Century Investments®. You will hear how these evolving views can help plan sponsors adapt plans to meet their participants’ needs, and how you can drive deeper engagement with your clients.
Sponsored by Allianz Life Insurance | October 24, 2024
Portability in Practice: Navigating Guaranteed Lifetime Income Options
This webinar will explore the intricacies of portability as it relates to in-plan guaranteed lifetime income products, such as annuities. It will delve into participant preferences, product design considerations, and limitations that can impact true portability. It will also look at how portability impacts the participant experience and strategies that can be employed to maintain engagement throughout various scenarios. Join Jessica Drake, Head of Operations, Employer Markets and Troy Sande, Head of Integrations and Experience, Employer Markets at Allianz Life Insurance Company of North America (Allianz) to discover strategies that can be used to address these challenges and help ensure a seamless experience across the retirement ecosystem. Guarantees are backed solely by the financial strength and claims-paying ability of the issuing insurance company. This content does not apply in the state of New York. Allianz Life Insurance Company of North America is not affiliated with PLANADVISER Magazine. For institutional use only- not for use with the public.
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.
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