Schwab Arbitration Ruling Leaves Unanswered Questions

The effect of the 9th Circuit decision on ERISA lawsuits is uncertain, and arbitration is not the perfect option plan sponsors may think.

Recordkeeper Market Caters to All Plan Sizes, but Differently

The 2018 PLANSPONSOR Recordkeeping Survey has found smaller plans tend to align with adviser-centric recordkeepers or those supplying core business services—e.g., payroll—while larger plans migrate toward providers offering proprietary, and customizable, platforms.

Barry’s Pickings: The Possibility of a ‘Provider’s ERISA’

Michael Barry, president of October Three (O3) Plan Advisory Services LLC, discusses how the Securities and Exchange Commission’s (SEC)’s broker/investment adviser standard-of-conduct proposal would be necessary to the creation of a provider-based retirement system.

Understanding Roth Conversions

What is an in-plan Roth conversion, and what should plan sponsors consider before implementing the feature?