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Responding to a question from a financial advisor in Colorado, the ERISA consultants at the Retirement Learning Center Resource addressed a common inquiry involving plan reporting requirements.  The ERISA consultants at the Retirement Learning Center Resource regularly receive calls from... READ MORE
While the number of cases reported by FINRA was down last year, the level of fines appears to be increasing, according to a new report.  Eversheds Sutherland’s annual analysis of FINRA disciplinary actions shows that the self-regulatory agency in 2018 brought 638 actions, which was down... READ MORE
What is everybody who’s anybody in the retirement plan advisor space talking about? We’ve already eclipsed last year’s record-setting advisor attendance – which did the same the year before… and the year before that. The NAPA 401(k) Summit keeps getting bigger – and yet, still keeps getting better... READ MORE
Democrats in both houses of Congress have introduced legislation that will tax financial transactions – including those in your 401(k). "It's called the Wall Street Tax Act, but it's really a Main Street savings attack," said Brian Graff, CEO of the American Retirement Association. The Wall... READ MORE
Brainstorming a relevant plan sponsor topic, researching sources, typing word by word, citing footnotes, and compliance reviews are all part of the content creation struggle. After you have overcome these hurdles, you can bask in the joy of pressing “Publish.” Wow, there it is – your beautifully... READ MORE
Down markets kept target-date fund growth in check, but the push toward passive – and lower-cost – options picked up pace in 2018, according to a new report.   According to “The State of the Target-Date Market: 2019, Examining Asset Trends Across Providers, Products, Vehicles, Management Styles,... READ MORE
Of late, we’ve been getting a lot of questions about legislation that would create open multiple employer plans (MEPs). Here’s the update.  Ever since the Department of Labor issued an explicit ruling in 2012 that an open MEP is not a single employee benefit pension plan but a group of single... READ MORE
In recent weeks, the headlines have been full of stories about tax refunds – or, perhaps more accurately, the lack of tax refunds.  It’s the kind of thing that might not normally find its way into the headlines, but this particular situation has struck a chord – both because it includes people who... READ MORE
Plan fiduciaries have prevailed again for a decision to continue to keep a mutual fund investment in the plan, even after plaintiffs alleged “…it became apparent that the Fund was no longer a suitable investment for participants’ retirement savings.” Case History The plaintiffs here are... READ MORE
A new study finds that longer client lifespans, information privacy/data integrity and changing workplace dynamics could impact advisors’ businesses the most over the next decade. But not all impact is created equal, according to Schwab Advisor Services’ Independent Pulse study, which seeks to... READ MORE