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The Financial Industry Regulatory Authority says it will maintain member fees for now, but that decision may have to be revisited in the near future.   In its newly released budget summary for 2019, the self-regulatory organization says it will not seek to increase member fees this year – the... READ MORE
If it’s March, then it must be time for March Madness – and whatever you’ve seen in the betting sheets, NAPA-Net readers have their own opinions. Bracket Talk Gonzaga was (barely) the top pick of readers to win the West bracket, pulling the support of 35%, just ahead of the 29% who were placing... READ MORE
The shifting values, beliefs, and expectations of clients are bringing massive change to the forefront of every industry. And we’ll close out the 2019 NAPA 401(k) Summit with insights from none other than Joey Coleman, Chief Experience Composer at Design Symphony. You’ll leave this Summit keynote... READ MORE
If you think you’ve had a bad week, just remember – it could have been worse. Check out what happened to these guys (and gals)…  In Albany, Texas, an unnamed resident crawled underneath his house after strong winds disrupted his cable service… spotted “a few” snakes under there… quickly crawled... READ MORE
The nation’s second largest retirement provider recently announced a new collaborative agreement with independent advisory firms to deliver customized advisory services to workers saving for retirement.   Advisor Managed Accounts (AMA) seek to drive integration between advisor firms and Empower by... READ MORE
Now there’s a whole new reason to focus on things fiduciary. That’s right, March 21 – 3(21), get it? – has been declared Fiduciary Awareness DayTM, and if you haven’t heard about it yet, it’s something to keep an eye out for in coming years. It’s the brainchild of Columbia Threadneedle’s Andy... READ MORE
There’s an old saying about leaving the best until last. This may just do the trick. That’s right, over the past several days we’ve outlined the long list of compelling topics and fascinating speakers lined up for the NAPA 401(k) Summit. At which point, one might well wonder – what’s left? Well,... READ MORE
Financial advisors appear to be laser-focused on Millennials as the next generation of potential investors, but they may be making a mistake by overlooking Generation X, says a new white paper. Given their population size and the inevitable impact of wealth transfers, firms are jostling to court... READ MORE
Running the gamut from “growth” to “defensive,” new research documents the extensive asset allocation strategies among custom target date funds.  Noting there is a wide range of information available on the performance and asset allocation strategies of packaged TDFs but little comparative... READ MORE
A new survey of nearly 4,000 401(k) plans sheds some light on current plan design trends in the small-plan market. The survey of 3,975 small-business 401(k) plans focused on common practices in two plan design areas: contributions and eligibility requirements. It was conducted by Employee... READ MORE
Lawmakers in our nation’s capital may have been focused on shutdowns, declared emergencies and “new” deals, but in state capitals across the nation, legislators and regulators have been proposing, passing and implementing change that could dramatically impact your practices and your practice. Most... READ MORE
For the second time in less than a month, Fidelity is being accused of charging excessive, undisclosed fees via its FundsNetwork platform. The most recent was filed by plaintiffs Gina Summers, Cynthia Eddy and Kayla Jones on behalf of the plans in which they participate (the Rock Holdings &... READ MORE
So, you think your data is safe? Think again. Our closing keynote on Monday, April 8 is Kevin Mitnick, arguably the world's most famous hacker, global bestselling author, and the top cybersecurity keynote speaker.  Once one of the FBI's Most Wanted because he went on an “electronic joyride”... READ MORE
New survey results show that nearly half of Americans incorrectly believe all advisors are legally obligated to act in a client’s best interest.   According to findings in Personal Capital’s 2019 Financial Trust Report, 48% of survey respondents mistakenly believe that all financial advisors are... READ MORE
When asked to name barriers to financial independence and early retirement, Americans are less concerned about uncertain market conditions or inflation than they are about health care expenses.  According to new survey results from TD Ameritrade, Americans aged 45 and older with $250,000 or more... READ MORE
Despite political affiliation, large majorities of Americans believe the nation faces a retirement crisis and are largely supportive of state efforts to expand coverage, recent survey results show.  Findings contained in the National Institute on Retirement Security’s “Retirement Insecurity 2019:... READ MORE
A new report claims that participants and plan sponsors are keen on ESG – but apparently not enough to do much about it. The report, by Cerulli Associates, cites a 2018 survey of 1,000 active 401(k) plan participants among which “more than half” agreed with the statement, “I prefer to invest in... READ MORE
Looking for ways to build up your wealth management practice? Insights on M&A? Insights on how participants are interacting with TDFs? How about a little collective wisdom? Want to read plan sponsors’ minds? We’ve got you covered. The second half of the NAPA 401(k) Summit is just as powerful... READ MORE
Environmental, social and governance-oriented investment options continue to “face headwinds” to widespread adoption in the defined contribution market, new research shows.  Plan participants and plan sponsors are generally supportive of ESG-oriented investments in concept. In a 2018 survey of 1,... READ MORE
Multiple employer plans (MEPs) are not new. But what is new is the attention they are receiving and the possibility that they could be more widely available. A recent analysis offers a look at MEPs and what the results of making open MEPs possible could mean. In “Multiple Employer Plans and Their... READ MORE
In preparation for a potentially more volatile market environment, institutional investors are looking at ways to diversify sources of investment outperformance, according to new research.  While institutions of all sizes plan to make changes to their investment approaches, Fidelity’s Global... READ MORE
Several trends in the defined contribution market are likely to propel a greater interest in managed accounts, according to a new report by Cerulli Associates.  “Growing emphasis on financial wellness, concerns about lack of retirement income options within employer-sponsored plans, increasing... READ MORE
If it’s March, then it must be time for March Madness – and it’s time for NAPA-Net readers to weigh in on the team(s) that you think will make it to the Final Four, and win the national championship! That’s right – the brackets have been set, and in this week’s reader poll, we’d like to know who... READ MORE
Ever been blamed for a compliance issue? Working with plan sponsors who are skeptical about financial wellness? Worried that that financial education has its limits? Looking to leverage relationships with industry partners to better your business? Look no further.  The second half of the NAPA 401(... READ MORE
You know your clients – but how well do you know yourself? As leaders and as women, we all strive to improve, and, like many of you, I have spent considerable time on self-awareness during my career in financial services. Along the way, I’ve been challenged to understand and define my leadership... READ MORE

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