Tag: broker/dealer

Compliance September 12th, 2018

Testing of SEC Adviser Relationship Summary Form Yields Troubling Results

A group of investor advocacy organizations is calling on the Securities and Exchange Commission to significantly revise its adviser customer relationship summary form requirements within its broader Regulation Best Interest proposal.

Compliance May 3rd, 2018

Appeals Court Rejects AARP, State Arguments to Revive DOL Fiduciary Rule Process

The decision puts another layer of finality on the fate of the now-defunct Department of Labor fiduciary rule expansion, meaning the compliance landscape has shifted yet again for plan sponsors.

MARKET MIRROR

Friday, the Dow increased 64.89 points (0.26%) to 25,444.34, the NASDAQ closed 36.11 points (0.48%) lower at 7,449.03, and the S&P 500 was down 1.00 point (0.04%) at 2,767.78. The Russell 2000 lost 18.71 points (1.20%) to finish at 1,542.04, and the Wilshire 5000 decreased 58.64 points (0.20%) to 28,563.50.

The price of the 10-year Treasury note was down 3/32, increasing its yield to 3.194%. The price of the 30-year Treasury bond decreased 8/32, bringing its yield up to 3.380%.

WEEK’S WORTH: For the week ending October 19, the Dow increased 0.41%, the NASDAQ finished 0.64% lower, and the S&P 500 was up 0.02%. The Russell 2000 decreased 0.30%, and the Wilshire 5000 was down 0.02%.

Industry White Papers

The Happiness Formula Leveraging our Global Retirement Reality Report data, we are examining what makes for retirement happiness.
Retirement Income: A New Model for Seeking Stable Income We aim to optimize interrelated decisions collectively for stable and consistent retirement income.
A new role for DC Plans: Income for life A new approach to retirement savings can help your employees generate lifetime income.
Strategies to help recruit, retain and retire employees You can help strengthen your workforce and manage unexpected costs by focusing on three key areas
Voya Research on Enrollment Default Savings Rates in Retirement Plans Study uncovers opportunity to push enrollment default savings rate much higher in retirement plans
Improving Plan Health Plan sponsors' perspectives on plan health and the drivers that can impact it

Tag: broker/dealer

Testing of SEC Adviser Relationship Summary Form Yields Troubling Results

Appeals Court Rejects AARP, State Arguments to Revive DOL Fiduciary Rule Process

Investment Product and Service Launches

DOL’s Open MEP Proposal Advances Through OMB

Nonprofits Grapple With Shifting 457(f) Landscape

Members of Congress Ask Trump to Protect ESOPs

Student Loan Debt Following Some into Retirement