Tag: 10b-5

May 14th, 2019

Litigation Financing Could Drive 10b-5 Lawsuits

Attorneys suggest that litigation financing is not a common practice in ERISA lawsuits, but complaints filed under SEC Rule 10b-5 are a different matter.

THOUGHT LEADERSHIP
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Market Practice Innovation: Increased Efficiency and Impact in The Small Market

An excerpt from Ascensus President, David Musto's Keynote at PLANADVISER National Conference 2018

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The Rapid Evolution and Retirement Needs of American Small Business

An excerpt from Ascensus President, David Musto's Keynote at PLANADVISER National Conference 2018

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ESG Investing

An Interview with Jamie Bentley, SVP & National Retirement Sales Manager at PIMCO

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Women & Investing

An Interview with Jamie Bentley, SVP & National Retirement Sales Manager at PIMCO

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Map My Benefits

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Viability

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Balance Between Great Plans and Cost of Plans

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The HSA Opportunity: What Advisors Should Know

An interview with Steve Christenson, EVP at Ascensus

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Discipline and Consistency: The Case for Staying Invested for the Long Term

An interview with Kathleen Beichert, Head of Retirement, OppenheimerFunds

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HSA Myths and Misconceptions

An interview with Steve Christenson, EVP at Ascensus

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How to Invest in a Health Savings Account

An interview with Ryan Tiernan, Vice President of National Accounts at American Funds

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The Advisor’s Role – Defining Value in a Dynamic Market

An Interview with Bill Harmon, President of Retirement Corporate Markets, Voya Financial

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Challenges for the Modern Adviser

An interview with David Musto, President, and Bob Guillocheau, Chairman & CEO at Ascensus.

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Industry Trends – Consolidation, Technology and Client Solutions

An Interview with Bill Harmon, President of Retirement Corporate Markets, Voya Financial

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Health Savings Accounts: The Advisor Opportunity

An interview with Ryan Tiernan, Vice President of National Accounts at American Funds

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Who Should Use a Health Savings Account?

An interview with Ryan Tiernan, Vice President of National Accounts at American Funds

MARKET MIRROR

Friday, the Dow lost 179.03 points (0.57%) to finish at 30,996.98, the NASDAQ increased 12.15 points (0.09%) to 13,543.06, and the S&P 500 closed 11.60 points (0.30%) lower at 3,841.47. The Russell 2000 climbed 27.34 points (1.28%) to 2,168.76, and the Wilshire 5000 was down 25.88 points (0.06%) at 40,783.64.

The price of the 10-year Treasury note increased 24/32, bringing its yield down to 1.084%. The price of the 30-year Treasury bond was up 6/32, decreasing its yield to 1.847%.

For the week ending January 22, the Dow was up 0.59%, the NASDAQ climbed 4.19%, and the S&P 500 increased 1.94%. The Russell 2000 gained 2.15%, and the Wilshire 5000 finished 2.01% higher.

Industry White Papers

The Decumulation Conundrum: Income In Retirement A record number of Americans are currently in retirement, and people are living longer.
Ascending Through the Fire With an Evolving Fiduciary Governance Approach Learn about the opportunity plan advisers have to position themselves as a chief governance officer with plan sponsors.
The Making of a Glide Path Investor reliance on TDFs underscores the importance of having a disciplined approach to glide path construction.
An ERISA Attorney’s Views on Target-Date Fund Selection Brad Campbell opines on how ERISA protects fiduciaries—if they document their decisions the right way.
Balanced retirement portfolios, no matter the balance of power. Perspectives on electing high-yield bonds and other non-core assets.
The Forgotten Participant Examining defined contribution participant investing behaviors and decision-making