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Investment Advisor November 2007 Melanie Waddell	On the Capitol Hill Agenda Going into the 2008 Presidential election year, Congress will be addressing the Alternative Minimum Tax and the estate tax, and 401(k) fee disclosure. Washington insiders say actions will be taken in all three areas.
Investment Advisor January 2008 Melanie Waddell	DOL Issues Fee Disclosure Regs The Department of Labor introduced its proposed rules on enhancing the disclosures regarding fees that fiduciaries of employee benefits plans receive.
Investment Advisor July 1, 2011 Melanie Waddell	Retirement Plans' Perilous Future Between threats of cutting tax benefits and crackdowns on non-compliant plans, for the retirement industry stakes are higher than they ever were.
CFO December 1, 2011 Russ Banham	Lifting the Lid on 401(k) Fees The coming mandatory disclosure of plan fees could give participants a nasty shock.
Registered Rep. July 8, 2010 Michael Stillman	For 401k Advisors, Comp Models Must Change In the short-term, financial advisors will need to adjust their 401(k) fee arrangements. For the long-term, registered reps may find it necessary to work with -- or become -- registered investment advisors.
Registered Rep. July 24, 2012 Jerry Gleeson	Fee Disclosure - Can You Handle the Truth? New federal rules are forcing advisors to spell out what they're charging for running 401(k) plans and what their clients are getting for the money. It could lead to some difficult conversations.
Financial Planning December 1, 2010 Trone & Harvey	Get Smart When the U.S. Department of Labor speaks, we should listen, whether we work with qualified retirement plans or not. The DOL made several announcements in October that are going to be significant game changers for the financial services industry.
Investment Advisor July 2008 Elizabeth D. Festa	Graff's Goal at ASPPA: Closing the Gap The head of the American Society of Pension Professionals & Actuaries says he is cognizant of the challenges for employees' savings plans in the current market environment.
Financial Advisor December 2008 Janet Aschkenasy	Who Discloses What? New regulations clarify the duties of qualified retirement plan fiduciaries and advisors.
Investment Advisor September 2007	News & Products Participants who consistently held accounts in 401(k) plans from 1999 through 2006 increased their account balance at an annual rate of 8.7%... Rep. George Miller, chairman of the House Education and Labor Committee, introduced the "401(k) Fair Disclosure for Retirement Security Act of 2007"... etc.
Financial Advisor March 2012 Juliette Fairley	More 401(k) Avenues Demand is increasing for advisors who can help companies with their retirement plans.
Investment Advisor October 2008 Melanie Waddell	DOL Floats Advice Proposals The Department of Labor recently announced two proposed rules under the Pension Protection Act designed to make investment advice more accessible for millions of Americans in 401(k)-type plans and individual retirement accounts.
CFO December 1, 2009 Randy Myers	A Question of Balance The much-maligned 401(k) plan is being beefed up. So are the penalties for failing to manage it well.
Financial Planning November 1, 2010 Trone & Harvey	The New Rules of the Road The following four regulatory reforms will likely have the most impact on the financial services industry over the next 24 months. Here's a short synopsis of what they will require.
On Wall Street March 1, 2010 Bo Bohanan	Do You Really Want To Be A 401(k) Consultant? It is fairly easy to spot the advantages and opportunities of working in this marketplace. But, not all of the pitfalls are as evident.
Investment Advisor February 2009 Melanie Waddell	Out of the Frying Pan, Into...? While most investors and their advisors are happy to say good riddance to 2008, the collective wisdom among economists and investing executives is that the global financial crisis will usher in a year of global recession and deflation risk.
Investment Advisor March 2007 Ken Weber	401(k) Plans' Dirty Little Secret Without fair, vigorous competition among 401(k) plan providers, millions of plan participants will be saddled with burdensome costs. And without disclosure, employees cannot pressure employers to seek more cost-effective plans.
CFO May 8, 2006 Randy Myers	Drawing a Bead on Cost A clearer picture of 401(k) plan fees is helping more plan providers drive down costs.
On Wall Street April 1, 2010 Trone & Harvey	Are The Retirement Waters Now Murkier? A 40-page document of new regulations from the Department of Labor sets out to ease the challenges of offering investment advice to retirement plan participants and to lessen any conflicts of interest.
Investment Advisor September 2008 Melanie Waddell	Disclosure Time The timeline of the Department of Labor's proposed rule on 401(k) plan fee disclosure seems too aggressive.
Financial Advisor December 2009 Mary Rowland	Rough Road The rules on providing investment advice to 401(k) plan participants have been shifting, and the end of the controversy is not in sight.
CFO May 1, 2008 Russ Banham	Courting Disaster Confusion over 401(k) plan fees is triggering lawsuits and congressional inquiries. What can plan sponsors do to head off trouble?
CFO May 1, 2011 David McCann	A Sense of Disclosure New 401(k) rules pose a challenge for small and midsize companies.
Investment Advisor December 2007 Elizabeth D. Festa	Fighting the Good Fight on 401(k)s In his new book, Stop the 401(k) Rip Off, David Loeper rails against the hidden fees in 401(k) plans and attempts to arm participants with the ability to uncover the fees and approach their employer about offering less expensive funds in their plans.
Financial Planning September 1, 2008 Blaine Aikin	New Disclosure Regimen Planners are facing considerable competition from brokers in the arena of retirement plans, and the reality that brokers typically don't work as fiduciaries is a thorn in planners' sides.
Investment Advisor March 2007 Saxon & Breyfogle	DOL Issues Favorable New Guidance on PPA "Investment Advice" Provisions The Department of Labor's Field Assistance Bulletin resolves some of the uncertainties created by the PPA and creates a new option for service providers that wish to provide investment advice without fee offsets or reliance on computer models.
Financial Advisor May 2008 Marla Brill	Under Pressure Financial advisors who provide services to businesses with 401(k) plans governed by the Employee Retirement Income Security Act have a new reason to review fiduciary practices and double-check professional liability insurance.
Registered Rep. October 1, 2006 John Churchill	Deciphering the Rules of Retirement Advice Title VI of the the Pension Protection Act, far from being a clear-cut signal for reps to dive into the retirement advice business, does, however, open the door wider to advice giving.
CFO September 1, 2012 Bonnie Evans	A November Surprise? New 401(k) disclosure regulations could cause a stir in November.
Investment Advisor July 2007	News & Products A new group has been formed to help independent third-party recordkeepers' voices be heard on Capitol Hill... A recent report by the Social Investment Forum has found that socially responsible investment options in defined contribution plans are in demand... etc.
Investment Advisor March 2007 Melanie Waddell	Leading the Way This year is shaping up into one in which advisors will have to stay compliant with a plethora of retirement planning rules and regs if they expect to stay firmly rooted in the retirement planning arena -- and doing what's best for their clients.
Financial Advisor November 2012 Jerilyn Klein Bier	No More Secrets New 401(k) fee disclosure rules could generate big opportunities for advisors.
Investment Advisor December 2009	Walking the Fiduciary Line on Retirement Retirement plans and their participants may need to use separate advisors who are separate fiduciaries, devoid of the potential for conflicts.
Financial Planning July 1, 2013 Glenn G. Kautt	For Fiduciary Advisors, the Courts Are Watching For fiduciary advisors, a decision by federal judges finding mismanagement of a company s 401(k) plan could have far-reaching consequences.
Investment Advisor April 2008 Melanie Waddell	Getting a Handle on 408(b)(2) The new Department of Labor rule will prove more onerous for Broker/Dealers than for Registered Independent Advisors.
Registered Rep. April 1, 2007	Confronting the F Word Experts suggest that reps who ultimately become fiduciaries will require additional training. Simply holding various series licenses is probably not going to cut it. There are now more options than just a few years ago.
Investment Advisor July 2010 Melanie Waddell	Retirement Planning: Discord With DOL Squabbing over proposed final 401(k) advice rules.
On Wall Street September 1, 2012 Elizabeth Wine	Financial Advisors Turn to the 401(k) Market for More Business Advisors look to 401(k) plans as fertile ground for business.
Financial Advisor May 2007 Ken Ziesenheim	Diamonds In The Rough The new Pension Protection Act offers opportunities for financial advisors, if you know where to dig.
Financial Planning January 5, 2008 Elizabeth O'Brien	The New Fiduciaries LPL and Fiduciary360 educate advisors on retirement consulting in the Pension Protection Act of 2006 era.
Registered Rep. November 21, 2010 Michael Stillman	Bundled 401(k)s May Be Ripping Off Your Clients You can help your plan sponsors -- and potentially their plan participants -- by guiding them through the pros and cons of bundled vs. unbundled services.
Financial Advisor June 2011 Jerilyn Klein Bier	Tapping 401(k) Opportunities Financial advisors in the 401(k) space are optimistic about future prospects in a shifting regulatory landscape.
Investment Advisor November 2006 Melanie Waddell	Watch Those Fees! The Department of Labor gets tough on retirement plan fee disclosure. Financial advisors, take note.
Investment Advisor February 2008 Elizabeth D. Festa	Big Years Ahead for Auto Enrollment The implementation of automatic enrollment in 401(k)s among many medium-sized companies will spike, adding perhaps 10 million more retirement savers to the 50 million now enrolled.
Investment Advisor September 2007 Melanie Waddell	Failure to Compute? The Department of Labor is set to tell Congress by year-end if computer models are suitable for IRAs.
Registered Rep. May 26, 2005 Kristen French	Under ERISA, No Padding Profits with Revenue Sharing Under a recent Department of Labor directive, revenue-sharing arrangements between mutual funds and advisors to employee benefit plans can no longer be used to pad profits.
Financial Advisor June 2010 Stephen K. Davis	What To Do About The 401(k) How do we bring better investment success to the 401(k)? For one, participants need help from financial advisors.
Investment Advisor August 2007	News and Products New research by Cerulli Associates has found that the 403(b) market is just as profitable... American Society of Pension Professionals & Actuaries is asking the IRS to delay implementation of its final rules regarding revisions to 403(b) plans... etc.
Registered Rep. November 1, 2005 Kristen French	Trolling for 401(k) Treasure Congress is expected to enact new pension legislation that would make it easier for financial advisors to work with participants in company retirement programs.
Financial Planning February 1, 2011 Donald B. Trone	12 Steps to the Future If you have never prepared a checklist to evaluate your practice, 2011 is the time to start. You'll need to know your strengths and weaknesses as advisors in what promises to be an interesting year.