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Hot Topics

Today’s “hot topics” are tomorrow’s opportunities, and in a rapidly changing marketplace, the only way to stay ahead is to know not only what’s going on, but what’s ahead.

Game Changers: The DOL and SEC Fiduciary Rules

By almost any account, the Labor Department’s attempt to create a new fiduciary standard for advisors dominated the focus of much of the industry during the past several years. That rule, vacated in mid-March 2018 by the U.S. Court of the Appeals for the 5th Circuit, continues to have an impact even today. Meanwhile, the Securities and Exchange Commission (SEC) has (re)entered the fiduciary fray with its own version of a new fiduciary standard. This topic contains the latest news, commentary, and insights on these “game changers.”

Participant Outcomes

A big part of plan advisors’ jobs is to prepare workers for their decumulation years, yet many in the industry tend to focus on savings accumulation prior to retirement. In an effort to change this mindset, we asked industry thought leaders to weigh in on outcomes-oriented plan designs, building better investment menus, using plan metrics effectively, and much more.

State-Run Auto-IRA Plans

In recent years, a growing number of states – concerned both about retirement savings shortfalls, the nation’s retirement savings coverage gaps, and the potential for a looming social safety net burden – have stepped forward with solutions of their own.  Most have been built on an automatic Roth IRA foundation, fueled, though not funded by, an employer mandate. On this topic, you can find out which states have not only examined, but started these programs – and how they’re faring.