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

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MARKET MIRROR

Tuesday, the Dow lost 102.20 points (0.36%) to finish at 27,934.02, the NASDAQ closed 20.72 points (0.24%) higher at 8,570.66, and the S&P 500 slipped 1.85 points (0.06%) to 3,120.18. The Russell 2000 increased 5.95 points (0.37%) to 1,598.29, and the Wilshire 5000 was up 8.71 points (0.03%) at 31,769.20.

The price of the 10-year Treasury note was up 3/32, decreasing its yield to 1.784%. The price of the 30-year Treasury bond increased 11/32, bringing its yield down to 2.252%.

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Are employees relying on employers to solve financial problems? Employees who are financially stressed and working out of economic necessity can negatively impact workplace productivity.
2019 PIMCO Defined Contribution Consulting Study Providing retirement income potential, evaluating TDFs and plan costs, and simplifying investment menus are key.