Tag: Practice management

Without significant changes, the SEC cannot fulfill its mandate for examinations of investment advisers, said Elisse Walter, commissioner of the Securities and Exchange Commission (SEC).

Financial advisers can provide a valuable and necessary service to both defined contribution (DC) plan sponsors and participants—if advisers know what they need.

National Financial Partners Corp. said it agreed to be acquired by Madison Dearborn Partners for $25.35 per share in cash.

The Principal Deferred Income Annuity, a new product, offers a flexible premium and the option to delay the start of income payments.

The U.S. Department of Labor (DOL) is co-sponsoring a webcast to provide financial education for younger workers and college seniors.

The majority of defined contribution (DC) plan participants participating in a recent poll are interested in having a guaranteed income option.

Lodestar is an interactive global market intelligence platform that allows users to explore and customize more than 20 years’ worth of Cerulli research data.

The Plan Sponsor Council of America (PSCA) has begun its 56th Annual Survey questionnaire, which will examine trends with defined contribution (DC) plans.

Matthew Hutcheson of Eagle, Idaho, was found guilty after just a few hours’ deliberation by the jury.

David H. Dermenjian has been promoted to managing director of the investment advisory group at Mesirow Financial.

Enhanced resources on the website of Prime Advisors Inc. include portfolio access, assets under management, market updates, recent company events, industry presentations and publications.

CAPTRUST Financial Advisors has issued a position paper about financing strategies for nonqualified deferred compensation (NQDC) plans.

The past few years have seen a steady increase in real estate investments, according to Chuck Schreiber Jr., chief executive of KBS Realty Advisors.

Most defined contribution plan participants were content to stay put with their investments in March, according to the Aon Hewitt 401(k) Index.

New York Life lowered the initial premium payment for its Guaranteed Future Income Annuity (GFIA), from $10,000, to $5,000.

Next week, Public Broadcasting System’s (PBS) Frontline program will re-air a documentary called “The Retirement Gamble.”

An online tool from Wells Fargo Retirement helps individuals create a savings plan and allows them to see their potential monthly income in retirement.

Unsurprisingly, client retention is one of the top areas of focus for advisers who make the move to the independent model.

Since the release of the proposed fiscal year 2014 budget by President Obama, opinions  have differed on how retirement-related provisions will potentially affect retirement savings.