Search results for: acts 19
SEC Starts Reviews of Yet-To-Be-Examined RIAs
The Securities and Exchange Commission (SEC) says it has launched a previously announced initiative to audit registered investment advisers (RIAs) that have never been examined.
How a Mortgage Impacts Retirement Income
Does your employee retirement education include information about carrying a mortgage into retirement?
Texas Adviser Settles with SEC for Wrongful Fees
Jim Poe and Associates Inc. received $637,843 from nonqualified clients, according to the Securities and Exchange Commission (SEC).
Gen Yers Flaunt Company E-Security
What company policy? Generation Y employees said they would deliberately ignore corporate security measures surrounding the use of personal smart devices.
More Receiving Retirement Income from Private Sector Plans
Retirement income from private-sector retirement plans has become more common, according to a new study.
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2013 PLANSPONSOR Retirement Plan Adviser of the Year
The winners of our 2013 PLANSPONSOR Retirement Plan Adviser Year Award for individual adviser, team and multioffice team.
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What You Need to Know About… E-signatures
For retirement plan advisers, time is of the essence.
Don’t Know Much About… Interest Rates
About two-thirds of Americans (63%) don’t know how rising interest rates will affect their investment portfolios, such as 401(k)s, IRAs and other savings platforms.
SPARK Institute Seeks IRS 403(b) Guidance
The SPARK Institute has requested guidance from the Internal Revenue Service (IRS) relating to 403(b) retirement plans.
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Completing the Picture
How recordkeepers, TPAs, ERISA attorneys and CPAs augment advisers’ business
SEC Charges BofA with Defrauding RMBS Investors
The SEC filed a complaint claiming Bank of America and two subsidiaries failed to disclose key risks and misrepresented facts about the underlying mortgages in an offering of...
GSAM to Offer Pooled Stable Value Fund
Goldman Sachs Asset Management (GSAM) will launch a new stable value fund designed to meet retirement plan sponsor demand for pooled stable value funds.
NYC Pension Funds Sue BP
The New York City Pension Funds have filed a lawsuit against British Petroleum (BP).
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2013 PLANSPONSOR Retirement Plan Adviser of the Year Finalists
At the end of last year, we announced some of the nation’s most successful retirement plan advisers in our list of the 2013 PLANADVISER Top 100 Advisers. In...
VelocityShares Launches Three ETFs
VelocityShares LLC introduced three emerging market depositary receipt (DR) exchange traded funds (ETFs) on the NASDAQ.
Tweet Away (Just Be Sure You Alert Investors)
Companies can announce key information in compliance with Regulation Fair Disclosure on Facebook, Twitter and other social media, the Securities and Exchange Commission (SEC) said.
Sponsors Need Education About Stable Value Funds
While stable value funds are popular with retirement plan sponsors, more education about them is needed, a study found.