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Investment Advisor April 2010 Melanie Waddell |
Retirement Planning: New Advice Rules Favor RIAs With the new rules brokers would charge a level fee, and couldn't give 'off-model' computer advice.  |
Financial Advisor December 2008 Janet Aschkenasy |
Who Discloses What? New regulations clarify the duties of qualified retirement plan fiduciaries and advisors.  |
Investment Advisor June 2, 2011 Melanie Waddell |
DOL's Rule 408(b)(2) Saga Continues: Further Compliance Extension Likely Final 408(b)(2) has yet to surface; former EBSA head Campbell says that officials will ask for compliance extension.  |
Investment Advisor January 2008 Melanie Waddell |
DOL Issues Fee Disclosure Regs The Department of Labor introduced its proposed rules on enhancing the disclosures regarding fees that fiduciaries of employee benefits plans receive.  |
Investment Advisor July 1, 2011 Tom Lydon |
ETFs At Last: The Future of 401(k)s Exchange-traded funds are beginning to attract greater attention for participant-directed individual account plans.  |
Financial Planning December 1, 2010 Trone & Harvey |
Get Smart When the U.S. Department of Labor speaks, we should listen, whether we work with qualified retirement plans or not. The DOL made several announcements in October that are going to be significant game changers for the financial services industry.  |
Investment Advisor July 2010 Melanie Waddell |
Retirement Planning: Discord With DOL Squabbing over proposed final 401(k) advice rules.  |
CFO May 1, 2008 Russ Banham |
Courting Disaster Confusion over 401(k) plan fees is triggering lawsuits and congressional inquiries. What can plan sponsors do to head off trouble?  |
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.  |
Registered Rep. November 21, 2010 Michael Stillman |
Bundled 401(k)s May Be Ripping Off Your Clients You can help your plan sponsors -- and potentially their plan participants -- by guiding them through the pros and cons of bundled vs. unbundled services.  |
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.  |
CFO September 1, 2012 Bonnie Evans |
A November Surprise? New 401(k) disclosure regulations could cause a stir in November.  |
CFO May 1, 2010 Alix Stuart |
Cracking Down on Fees As legislation looms, companies can take steps now to help employees build bigger nest eggs.  |
Investment Advisor December 2007 Elizabeth D. Festa |
Fighting the Good Fight on 401(k)s In his new book, Stop the 401(k) Rip Off, David Loeper rails against the hidden fees in 401(k) plans and attempts to arm participants with the ability to uncover the fees and approach their employer about offering less expensive funds in their plans.  |
Investment Advisor September 2007 |
News & Products Participants who consistently held accounts in 401(k) plans from 1999 through 2006 increased their account balance at an annual rate of 8.7%... Rep. George Miller, chairman of the House Education and Labor Committee, introduced the "401(k) Fair Disclosure for Retirement Security Act of 2007"... etc.  |
Investment Advisor February 2009 Melanie Waddell |
Out of the Frying Pan, Into...? While most investors and their advisors are happy to say good riddance to 2008, the collective wisdom among economists and investing executives is that the global financial crisis will usher in a year of global recession and deflation risk.  |
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.  |
Financial Planning September 1, 2008 Blaine Aikin |
New Disclosure Regimen Planners are facing considerable competition from brokers in the arena of retirement plans, and the reality that brokers typically don't work as fiduciaries is a thorn in planners' sides.  |
Investment Advisor April 2008 Melanie Waddell |
Getting a Handle on 408(b)(2) The new Department of Labor rule will prove more onerous for Broker/Dealers than for Registered Independent Advisors.  |
Investment Advisor November 2006 Melanie Waddell |
Watch Those Fees! The Department of Labor gets tough on retirement plan fee disclosure. Financial advisors, take note.  |
Financial Advisor November 2012 Jerilyn Klein Bier |
No More Secrets New 401(k) fee disclosure rules could generate big opportunities for advisors.  |
Investment Advisor December 2007 |
News & Products, December 2007 There's an excellent chance that the Department of Labor will finalize its three initiatives dealing with 401(k) fee disclosures... The IRS has extended the deadline for compliance with Section 409A of the tax code... etc.  |
CFO December 1, 2011 Russ Banham |
Lifting the Lid on 401(k) Fees The coming mandatory disclosure of plan fees could give participants a nasty shock.  |
BusinessWeek June 7, 2004 Anne Tergesen |
Does Your 401(k) Cost Too Much? Fees for your 401(k) retirement plan can take as much as 3% of the account balance each year. Watch out for conflicts of interest.  |
Investment Advisor March 2007 Ken Weber |
401(k) Plans' Dirty Little Secret Without fair, vigorous competition among 401(k) plan providers, millions of plan participants will be saddled with burdensome costs. And without disclosure, employees cannot pressure employers to seek more cost-effective plans.  |
The Motley Fool March 9, 2007 Mary Dalrymple |
Fee, Fie, 401(k), Fum How much do you know about your 401(k) fees?  |
The Motley Fool June 29, 2007 Amanda B. Kish |
401(k) Plans Clear the Fog What increased retirement fund transparency means for investors.  |
Investment Advisor July 2007 |
News & Products A new group has been formed to help independent third-party recordkeepers' voices be heard on Capitol Hill... A recent report by the Social Investment Forum has found that socially responsible investment options in defined contribution plans are in demand... etc.  |
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.  |
Financial Advisor November 2012 Karen DeMasters |
DOL Fiduciary Regulations May Be Revived U.S. Department of Labor regulations that would extend the fiduciary standard to a larger group of people advising on retirement plans are on hold for now, but they may not be dead, according to those following the fate of the proposals.  |
Investment Advisor July 2008 |
News & Products, July 2008 Department of labor will continue to scrutinize the indirect compensation that advisors acting as pension consultants receive... The number individuals participating in HSA-eligible high-deductible health plans jumped significantly since 2004... etc.  |
Financial Planning November 1, 2011 Donna Mitchell |
The 411 on 401(k)s Retirement planning is no simple task - but it just got a little easier. A growing number of specialized firms have started digging deep into retirement plan documents to unearth competitive details about how the plans work.  |
Investment Advisor April 2008 Melanie Waddell |
401(k) Participants Can Sue Advisors should take heed, as a high court rules in favor of 401(k) participants; will a torrent of similar lawsuits ensue?  |
Investment Advisor April 2009 Melanie Waddell |
Retirement Planning: Advice Rule Revisited Changes are in store to the Department of Labor's investment advice regulation, and its implementation is delayed.  |
Investment Advisor December 2009 Melanie Waddell |
Retirement News DOL testimony on fiduciaries... Claims against advisors... Research on roller coaster redemptions...  |
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.  |
Financial Advisor May 2004 Alan Lavine |
Dramatic Changes Loom For Mutual Fund, Annuities Sales Proposed disclosure rules could hurt level-load sales.  |
Investment Advisor July 2008 Elizabeth D. Festa |
Graff's Goal at ASPPA: Closing the Gap The head of the American Society of Pension Professionals & Actuaries says he is cognizant of the challenges for employees' savings plans in the current market environment.  |
Registered Rep. March 2, 2010 John Aidan Byrne |
New Rules For 401k Advice The White House has proposed rules that require advisors to either use independent computer models that spit out advice, or else avoid steering workers into funds to which they are tied or that pay them a fee based on their recommendation.  |
CFO May 15, 2012 David McCann |
Will These Investments Catch On? Why the government's proposals for encouraging "longevity annuities" may not impress many 401(k) plan sponsors.  |
Investment Advisor November 2005 Melanie Waddell |
Take Your Pick Retirement plan providers are tempting advisors with numerous products and services.  |
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.  |
Financial Advisor December 2003 Jeff Schlegel |
Qualified Plans Rock Through Bear Market The rising demand for advice is changing the 401(k) business.  |
The Motley Fool December 1, 2006 Mary Dalrymple |
Frightening Fine Print Have you checked your 401(k) fees? What looks like a small difference could have big consequences.  |
Investment Advisor February 2008 Elizabeth D. Festa |
Big Years Ahead for Auto Enrollment The implementation of automatic enrollment in 401(k)s among many medium-sized companies will spike, adding perhaps 10 million more retirement savers to the 50 million now enrolled.  |
Registered Rep. April 7, 2005 Kristen French |
NASD Advocates More Disclosure, Less Paper Broker/dealers and their reps may get a big break on point-of-sale disclosure if the Securities and Exchange Commission heeds recent NASD advice.  |
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.  |
CFO May 1, 2004 Roy Harris |
Raiding the Returns Hidden costs and high fees eat into 401(k) plan benefits.  |
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.  |
Investment Advisor September 2007 Melanie Waddell |
Failure to Compute? The Department of Labor is set to tell Congress by year-end if computer models are suitable for IRAs.  |