ERISA consultants at the Retirement Learning Center (RLC) Resource Desk regularly receive calls from financial advisors on a broad array of technical topics related to IRAs, qualified retirement plans and other types of retirement savings and income plans, including nonqualified plans, stock... READ MORE

Delaware is joining the Partnership for a Dignified Retirement, an interstate consortium that helps states provide access to retirement plan coverage. The action brings Delaware’s program into formal cooperation with those of Colorado and Maine. Colorado Gov. Jared Polis (D) signed the measure ... READ MORE

In prepared testimony Tuesday morning to the Department of Labor's (DOL) leadership and staff, American Retirement Association (ARA) CEO Brian Graff highlighted “the significant regulatory gap” regarding plan-level advice. Graff’s comments—made in support of the DOL’s latest attempt to modernize... READ MORE

My wife and I are in the process of moving to a new home—and it occurs to me that the process of changing homes is a lot like changing recordkeepers. Here’s how. Know What You’re Looking For We’ve made about a half dozen moves during our 37-year marriage—all driven by work, anchored by commuting... READ MORE

  Listen on iTunes | Listen on Spotify | Listen on Google Podcasts What did the Setting Every Community Up for Retirement Enhancement (SECURE) Act’s passage in 2019 do for lifetime income in retirement plans, and what lessons can be learned from the success of pension risk transfer? We... READ MORE

Despite widespread industry and congressional opposition, the Securities and Exchange Commission (SEC) apparently has not given up on pursuing its proposal to require open-end funds to use “swing pricing” and require a daily “hard close” for relevant funds. According to the SEC’s newly released... READ MORE

Well, here we are again at the end of yet another workweek …and yet, there’s (still) no shortage of…well, just look at what happened to these guys and gals… In White Bear Lake, Minnesota, Kelly Witter has been getting some unexpected packages from Target…a LOT of unexpected packages from Target… a... READ MORE

With talent development top of mind for RIA firms, an annual benchmarking study finds that many are casting a wider net to recruit new candidates, as well as adjusting compensation packages to help align staff with firm goals. That was one of the key takeaways from Schwab Advisor Services’ newly... READ MORE

More good news on (closing) the retirement plan coverage gap, specifically related to state auto-IRA mandates. The American Retirement Association has long argued—and an increasing body of research confirms—that state-sponsored retirement plans close the coverage gap, not only by providing a... READ MORE

In a positive sign that lawmakers are committed to fixing several errors contained in the SECURE 2.0 Act, the House and Senate have just released a draft technical corrections bill, including changes to allow catch-up contributions and provide parity for Starter 401(k)s championed by the American... READ MORE

The fiduciary defendants of a $4.3 billion 401(k) plan have prevailed in their revised motion to dismiss a fiduciary breach suit involving the selection and retention of a suite of target date funds. The Cleveland, OH-based Parker Hannifin 401(k) plan fiduciaries were accused by a handful of... READ MORE

On Tuesday, Congressman Patrick McHenry (R-N.C.), the House Financial Services Committee chairman who went viral with a gavel-banging incident when serving as temporary Speaker of the House in the wake of Kevin McCarthy’s ouster, announced that he would not seek reelection.   The Financial... READ MORE