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

Thursday, the Dow was up 45.41 points (0.17%) at 27,182.45, the NASDAQ gained 24.79 points (0.30%) to finish at 8,194.47, and the S&P 500 closed 8.64 points (0.29%) higher at 3,009.57. The Russell 2000 climbed 32.08 points (2.08%) to 1,575.07, and the Wilshire 5000 increased 62.89 points (0.20%) to 30,785.60.

The price of the 10-year Treasury note was down 4/32, increasing its yield to 1.786%. The price of the 30-year Treasury bond fell 31/32, increasing its yield to 2.269%.

Industry White Papers

The Making of a Glide Path Understanding the Impact of Design Decisions on Retirement Outcomes
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.