The fiduciary rule kept its winning streak intact in the first ruling by a federal appellate court.This time it was the U.S. Court of Appeals for the 10th Circuit weighing in (Mkt. Synergy Grp., Inc. v. U.S. Dep't of Labor, 10th Cir., No. 17-3038, decision affirming ruling for defendants 3/13/18)... READ MORE

The ERISA consultants at the Retirement Learning Center Resource regularly receive calls from financial advisors on a broad array of technical topics related to IRAs, qualified retirement plans and executive compensation arrangements. A recent call with a financial advisor from California is... READ MORE

Another state-run IRA retirement plan for private sector workers is gearing up to go live.The investment board for California’s Secure Choice program (now renamed “CalSavers”) last week approved final regulations and authorized its staff to search for a company to administer the program, according... READ MORE

We’ve previously shared the first set of workshops at the 2018 NAPA 401(k) SUMMIT. But that’s only the beginning.After a refreshing break, the second set of workshops at the NAPA 401(k) SUMMIT will start, including:Profit “Abilities” – Building a Better Bottom LineThe competitive pressures have... READ MORE

While many would argue that comparing the returns of DB and DC plans is not an apples-to-apples analysis, a new report examines the plan performance gains that DC plans have made against DB plans.CEM Benchmarking’s report, “Defined Contribution Plans Have Come a Long Way,” finds that while DB funds... READ MORE

If it’s March (and it is), then it must be time for March Madness – and it’s time for you to weigh in on the team(s) that you think (hope?) will make it to the Final Four, and win the national championship!This year you’ll get a chance to pick the winner in each of the four regionals, to identify... READ MORE

We’re counting down the days to the 2018 NAPA 401(k) SUMMIT. If you’re one of the nearly 1,100 retirement advisors who have already registered, check it out. Haven’t yet made up your mind? Look what you're missing!REASON TO ATTEND #1: For Advisors Only: Get Your Certified Plan Fiduciary Advisor (... READ MORE

Once again invoking the Labor Department’s fiduciary rule, Massachusetts’ Secretary of the Commonwealth William F. Galvin has opened another investigation into broker-dealer activities.The latest investigation involves Wells Fargo Advisors, and seeks information “related to inappropriate referrals... READ MORE

Tax reform legislation signed into law last year made some changes in benefit cost-of-living adjustments – and one has already had an effect.Specifically, Internal Revenue Bulletin 2018-18 revises certain 2018 figures released last May, notably (for our purposes), the maximum 2018 contribution to a... READ MORE

Retirement plans make an appealing target for cyber crimes – and on April 15, we’ll have a keynote address at the NAPA 401(k) SUMMIT with insights that will help you – and your clients – prepare.Not only are retirement plans an information-rich source of data, they have personally identifiable... READ MORE

FINRA is seeking comments on a proposed streamlined rule to address the outside business activities and private securities transactions of registered advisers at member firms in an effort to reduce regulatory confusion and provide better investor protection.The self-governing organization’s Feb. 26... READ MORE

The ERISA consultants at the Retirement Learning Center Resource regularly receive calls from financial advisors on a broad array of technical topics related to IRAs, qualified retirement plans and executive compensation arrangements.A recent call with a financial advisor from Virginia is... READ MORE