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Registered Rep.
October 1, 2006
John Churchill
Deciphering the Rules of Retirement Advice Title VI of the the Pension Protection Act, far from being a clear-cut signal for reps to dive into the retirement advice business, does, however, open the door wider to advice giving. mark for My Articles similar articles
Financial Planning
January 5, 2008
Elizabeth O'Brien
The New Fiduciaries LPL and Fiduciary360 educate advisors on retirement consulting in the Pension Protection Act of 2006 era. mark for My Articles similar articles
Financial Advisor
May 2008
Marla Brill
Under Pressure Financial advisors who provide services to businesses with 401(k) plans governed by the Employee Retirement Income Security Act have a new reason to review fiduciary practices and double-check professional liability insurance. mark for My Articles similar articles
On Wall Street
September 1, 2012
Elizabeth Wine
Financial Advisors Turn to the 401(k) Market for More Business Advisors look to 401(k) plans as fertile ground for business. mark for My Articles similar articles
Registered Rep.
March 16, 2012
Kristen French
Wire Houses Minting Fiduciary Advisors -- Or Are They? None of the firms will go on record as to whom specifically in the rank and file is adopting the standard, nor will they provide much detail on what that training looks like. mark for My Articles similar articles
Registered Rep.
November 1, 2005
Kristen French
Trolling for 401(k) Treasure Congress is expected to enact new pension legislation that would make it easier for financial advisors to work with participants in company retirement programs. mark for My Articles similar articles
Financial Planning
April 1, 2012
Donna Mitchell
The BIG Fix Familiar as 401(k)s are, planners love to hate them, and they'll readily cite long lists of faults with the plans themselves, as well as the way the $2.8 trillion 401(k) industry operates. mark for My Articles similar articles
On Wall Street
March 1, 2010
Bo Bohanan
Do You Really Want To Be A 401(k) Consultant? It is fairly easy to spot the advantages and opportunities of working in this marketplace. But, not all of the pitfalls are as evident. mark for My Articles similar articles
On Wall Street
April 1, 2010
Trone & Harvey
Are The Retirement Waters Now Murkier? A 40-page document of new regulations from the Department of Labor sets out to ease the challenges of offering investment advice to retirement plan participants and to lessen any conflicts of interest. mark for My Articles similar articles
Investment Advisor
April 2007
James J. Green
Retirement Planning Balancing Act Being a financial advisor who focuses on selling and servicing corporate 401(k) plans is a matter of balance. mark for My Articles similar articles
Investment Advisor
October 2008
Melanie Waddell
DOL Floats Advice Proposals The Department of Labor recently announced two proposed rules under the Pension Protection Act designed to make investment advice more accessible for millions of Americans in 401(k)-type plans and individual retirement accounts. mark for My Articles similar articles
Financial Advisor
June 2011
Jerilyn Klein Bier
Tapping 401(k) Opportunities Financial advisors in the 401(k) space are optimistic about future prospects in a shifting regulatory landscape. mark for My Articles similar articles
Registered Rep.
July 8, 2010
Michael Stillman
For 401k Advisors, Comp Models Must Change In the short-term, financial advisors will need to adjust their 401(k) fee arrangements. For the long-term, registered reps may find it necessary to work with -- or become -- registered investment advisors. mark for My Articles similar articles
Financial Advisor
May 2007
Ken Ziesenheim
Diamonds In The Rough The new Pension Protection Act offers opportunities for financial advisors, if you know where to dig. mark for My Articles similar articles
Investment Advisor
March 2007
Melanie Waddell
Leading the Way This year is shaping up into one in which advisors will have to stay compliant with a plethora of retirement planning rules and regs if they expect to stay firmly rooted in the retirement planning arena -- and doing what's best for their clients. mark for My Articles similar articles
Financial Advisor
March 2012
Juliette Fairley
More 401(k) Avenues Demand is increasing for advisors who can help companies with their retirement plans. mark for My Articles similar articles
Financial Advisor
June 2010
Stephen K. Davis
What To Do About The 401(k) How do we bring better investment success to the 401(k)? For one, participants need help from financial advisors. mark for My Articles similar articles
Financial Advisor
December 2003
Jeff Schlegel
Qualified Plans Rock Through Bear Market The rising demand for advice is changing the 401(k) business. mark for My Articles similar articles
Investment Advisor
May 2007
That's Not How I Read PPA Letters to the editor: DOL Requires More Due Diligence for 401(k) Advisors... You say adviser, we say advisor... Corrections... mark for My Articles similar articles
Financial Planning
November 1, 2006
Bob Veres
Fiduciary Fire Index At the start of the new year, the Pension Protection Act will go into effect and expose all over again the fact that, although we all like to talk about fiduciary standards, there really isn't any consistent definition of the term. mark for My Articles similar articles
Investment Advisor
December 2009
Walking the Fiduciary Line on Retirement Retirement plans and their participants may need to use separate advisors who are separate fiduciaries, devoid of the potential for conflicts. mark for My Articles similar articles
Financial Planning
September 1, 2013
Ilana Polyak
For Advisors, a Big 401(k) Opportunity As regulatory scrutiny of plans increases, advisors are in the sweet spot to capture new business. mark for My Articles similar articles
Financial Advisor
November 2011
Jerilyn Klein Bier
Best-Laid Plans Advisors who've built substantial 401(k) practices share their strategies. mark for My Articles similar articles
Financial Advisor
December 2005
Raymond Fazzi
Into The Black Hole Of 401(k) Consulting Advisors find that the need on the part of both sponsors and participants for professional and unbiased advice regarding 401(k) asset allocation and management is great. mark for My Articles similar articles
Investment Advisor
October 2006
Melanie Waddell
Catching up with... An interview with Tom Grzymala, a former RIA and Accredited Investment Fiduciary Auditor about ensuring those advisors who proffer advice are living up to fiduciary standards. mark for My Articles similar articles
Investment Advisor
February 2007
Savita Iyer
Taking Advantage of the Pension Protection Act Financial advisors need to understand fully what the Pension Protection Act means and how it pertains to their business. mark for My Articles similar articles
Investment Advisor
March 2008
Melanie Waddell
Figuring Out Fiduciary What, exactly, does fiduciary advisor mean? How can an advisor know for sure if he's fulfilling his fiduciary obligations? Are there any real guidelines? mark for My Articles similar articles
Financial Planning
November 1, 2010
Trone & Harvey
The New Rules of the Road The following four regulatory reforms will likely have the most impact on the financial services industry over the next 24 months. Here's a short synopsis of what they will require. mark for My Articles similar articles
Registered Rep.
May 1, 2007
The Great Reckoning Whatever the specific business impact the Merrill Lynch ruling may have, many see the return to pre-1999 rules as a chance for the brokerage industry, which has long avoided fiduciary duty for business and regulatory reasons, to overcome those obstacles and embrace it. mark for My Articles similar articles
Financial Advisor
December 2009
Mary Rowland
Rough Road The rules on providing investment advice to 401(k) plan participants have been shifting, and the end of the controversy is not in sight. mark for My Articles similar articles
Investment Advisor
February 2007
Melanie Waddell
Clear Road Ahead Commonwealth's retirement platform, Preferred Portfolio Services Retirement Solutions, keeps financial advisors compliant with ERISA and PPA. mark for My Articles similar articles
Investment Advisor
January 2007
Ken Ziesenheim
The Other Fiduciary Issue Many members of company retirement plan investment committees are not fully aware of the nature of their fiduciary responsibilities. mark for My Articles similar articles
Financial Planning
September 1, 2006
David Liebrock
Mining 401(k) Gold Small- and mid-sized companies are looking for help with their retirement plans. Here's how to reach out to this untapped market. mark for My Articles similar articles
Registered Rep.
December 1, 2006
John Churchill
Of Two Minds An internecine argument at the FPA gets to the heart of one of the industry's more vexing problems: Should brokers be able to position themselves as financial planners? mark for My Articles similar articles
Financial Advisor
August 2007
Eric Rasmussen
A Velvet Niche National Retirement Partners Inc. is a consortium that is dedicated to retirement plans and their regulatory needs. Some advisors have decided to stop competing with them and have joined them instead. mark for My Articles similar articles
Financial Advisor
November 2012
Jerilyn Klein Bier
No More Secrets New 401(k) fee disclosure rules could generate big opportunities for advisors. mark for My Articles similar articles
Registered Rep.
April 1, 2013
Diana Britton
The New Face of The Fiduciary Just when the industry thought it didn't have to worry about the DOL, the agency has made it clear that its fiduciary standard is imminent. For registered reps and RIAs alike, it could change the game. mark for My Articles similar articles
Financial Advisor
December 2008
Janet Aschkenasy
Who Discloses What? New regulations clarify the duties of qualified retirement plan fiduciaries and advisors. mark for My Articles similar articles
Registered Rep.
July 24, 2012
Jerry Gleeson
Fee Disclosure - Can You Handle the Truth? New federal rules are forcing advisors to spell out what they're charging for running 401(k) plans and what their clients are getting for the money. It could lead to some difficult conversations. mark for My Articles similar articles
Investment Advisor
March 2007
Saxon & Breyfogle
DOL Issues Favorable New Guidance on PPA "Investment Advice" Provisions The Department of Labor's Field Assistance Bulletin resolves some of the uncertainties created by the PPA and creates a new option for service providers that wish to provide investment advice without fee offsets or reliance on computer models. mark for My Articles similar articles
Financial Advisor
September 2012
Jeff Schlegel
Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds. mark for My Articles similar articles
Registered Rep.
June 30, 2010
Christina Mucciolo
Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly. mark for My Articles similar articles
CFO
December 1, 2009
Randy Myers
A Question of Balance The much-maligned 401(k) plan is being beefed up. So are the penalties for failing to manage it well. mark for My Articles similar articles
Investment Advisor
March 2008
Melanie Waddell
Focus! There's plenty to think about when doing retirement planning for clients; read on for the priorities that you should be doing something about, right now. mark for My Articles similar articles
Registered Rep.
June 3, 2010
Kristen French
For Fiduciaries, Fee Monitoring Gets More Scrutiny Advisors who act as fiduciaries have to keep a closer watch over fees and expenses than ever before. mark for My Articles similar articles
Investment Advisor
September 2010
James J. Green
Making the Connection: Communicating with Clients in Uncertain Times A panel of three top RIAs explains how they communicate with their clients in good times and bad, with a focus on the fiduciary issue mark for My Articles similar articles
Investment Advisor
September 2008
Robert F. Keane
Far From Retired Tony Purpero thought he was headed into retirement when he returned to southern California, but instead finds himself working harder than ever to help other current and future retirees. mark for My Articles similar articles
Financial Planning
July 1, 2013
Glenn G. Kautt
For Fiduciary Advisors, the Courts Are Watching For fiduciary advisors, a decision by federal judges finding mismanagement of a company s 401(k) plan could have far-reaching consequences. mark for My Articles similar articles
CFO
May 8, 2006
Randy Myers
Drawing a Bead on Cost A clearer picture of 401(k) plan fees is helping more plan providers drive down costs. mark for My Articles similar articles
Financial Advisor
December 2004
Tracey Longo
The Doctor Is In Advisor Gregory Kasten, a former anesthesiologist, has built a rare fiduciary practice in the 401(k) market. mark for My Articles similar articles