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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.
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.
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 April 2007 James J. Green	Retirement Planning Balancing Act Being a financial advisor who focuses on selling and servicing corporate 401(k) plans is a matter of balance.
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 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.
Financial Advisor December 2004 Gerald C. Steffes	Innovative Trends in 401(k) Plans The brutal bear market beating in recent years has led to significant innovations in 401(k) plans offered by small to mid-size employers. One of the driving forces for these innovations is a re-emergence of trustee awareness with regard to their fiduciary liability.
Financial Planning April 1, 2012 Donna Mitchell	The BIG Fix Familiar as 401(k)s are, planners love to hate them, and they'll readily cite long lists of faults with the plans themselves, as well as the way the $2.8 trillion 401(k) industry operates.
Financial Planning September 1, 2006 David Liebrock	Mining 401(k) Gold Small- and mid-sized companies are looking for help with their retirement plans. Here's how to reach out to this untapped market.
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.
Financial Advisor December 2003 Jeff Schlegel	Qualified Plans Rock Through Bear Market The rising demand for advice is changing the 401(k) business.
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.
Financial Advisor December 2005 Raymond Fazzi	Into The Black Hole Of 401(k) Consulting Advisors find that the need on the part of both sponsors and participants for professional and unbiased advice regarding 401(k) asset allocation and management is great.
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.
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 October 2006 Melanie Waddell	ETFs for 401(k)s Are OK Plan sponsors should refrain from using stable value funds as default options in 401(k) plans. Plan sponsors should instead offer participants an option that provides long-term growth, like a mutual fund that invests in ETFs.
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 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 Advisor September 2006 Raymond Fazzi	Whose Advice Is It Anyway? A provision of the Pension Protection Act would directly impact the financial planning field by encouraging employers to provide advisors for their 401(k) participants. But who exactly will be doling out that advice?
The Motley Fool December 22, 2006 Dan Caplinger	Do Pensions Beat 401(k)s? A recent study shows that investors aren't doing as well on their own and underscores the need for employees to understand and take full advantage of their retirement plan options.
Investment Advisor November 2006 Melanie Waddell	Watch Those Fees! The Department of Labor gets tough on retirement plan fee disclosure. Financial advisors, take note.
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.
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.
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.
Financial Advisor November 2012 Jerilyn Klein Bier	No More Secrets New 401(k) fee disclosure rules could generate big opportunities for advisors.
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.
Financial Advisor March 2012 Juliette Fairley	More 401(k) Avenues Demand is increasing for advisors who can help companies with their retirement plans.
Financial Planning September 1, 2013 Ilana Polyak	For Advisors, a Big 401(k) Opportunity As regulatory scrutiny of plans increases, advisors are in the sweet spot to capture new business.
The Motley Fool August 2, 2005	401(k) Administration Pain Less can be more when it comes to 401(k) plan options. If you have the opportunity to help your office select a plan provider, it is well worth keeping in mind that having too many mutual fund choices is a cost, not a benefit.
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.
The Motley Fool March 11, 2004	401(k) Administration Pain The greatest enemies to your long-term savings through a 401(k) plan are excessive fees. Right now, they're circling your retirement funds, nibbling away at your savings
The Motley Fool December 1, 2006 Mary Dalrymple	Frightening Fine Print Have you checked your 401(k) fees? What looks like a small difference could have big consequences.
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.
Financial Advisor June 2007 Sydney LeBlanc	Are SMAs Appetizing For 401(k) plans? Essentially "do it yourself" plans, more 401(k) participants than ever before are asking for professional investment advice and a larger number of these individuals are educating themselves about their investment choices, including separately managed accounts.
The Motley Fool June 29, 2007 Amanda B. Kish	401(k) Plans Clear the Fog What increased retirement fund transparency means for investors.
CFO May 15, 2012 David McCann	Will These Investments Catch On? Why the government's proposals for encouraging "longevity annuities" may not impress many 401(k) plan sponsors.
Financial Advisor March 2011 Jeff Schlegel	401(k)s Are Still O(k) Some critics contend the 401(k) concept is broken and has failed its basic mission to fund the great American retirement. Avatar Associates begs to differ.
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.
Financial Advisor November 2010 Marshall J. Cobb	Lifting The Revenue-Sharing Fog Regulatory and legislative actions currently being pondered will dramatically alter revenue-sharing practices in 401(k) plans.
Investment Advisor February 2008	The ETF Solution Forward-thinking companies and their advisors are increasingly allowing 401(k) plan participants to leverage the benefits of ETFs.
Financial Advisor December 2008 Janet Aschkenasy	Who Discloses What? New regulations clarify the duties of qualified retirement plan fiduciaries and advisors.
Investment Advisor May 2007	That's Not How I Read PPA Letters to the editor: DOL Requires More Due Diligence for 401(k) Advisors... You say adviser, we say advisor... Corrections...
Investment Advisor November 2005 Melanie Waddell	Take Your Pick Retirement plan providers are tempting advisors with numerous products and services.
Financial Advisor November 2010 Alan Lavine	New Opportunities With 401(k)s Participants are making asset allocation mistakes, even though most plans offer a good selection of investment options.
Investment Advisor September 2008 Robert F. Keane	Far From Retired Tony Purpero thought he was headed into retirement when he returned to southern California, but instead finds himself working harder than ever to help other current and future retirees.
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.
On Wall Street December 1, 2012 Richard T. Mason	Changing the Retirement Readiness Game Employees are seeking financial guidance and increasingly looking to their employers as a resource for retirement planning.
Real Estate Portfolio May/Jun 2001 Jack McAllister	On the Rise If 401(k) plan values are to rise to their potential, they could use a little more yeast -- in the form of REIT stocks...
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.