Income Planning
Learn what experts and top advisors say about the best ways to work with clients to determine and build successful retirement income plans.
5 Best Practices to Raise 401(k) Plan Participation
By Emily ZulzUsing its experience managing 401(k)s for 3 million participants, Merrill reports on the most successful ways plan sponsors can encourage healthy retirement planning.
June 10, 2016
Enforcement: Advisor Steered $11.5M of Client Money to His Own CompaniesMeanwhile, childhood friends were charged by the SEC with insider trading in deal targets being pursued by the pharmaceutical company where one of them worked.
June 09, 2016
Ric Edelman: DOL Rule Will Kill Off Half of All Advisors, Gouge WirehousesOne of the scariest aspects for the financial services industry, Edelman says, is that the new fiduciary rule will allow lawsuits.
June 09, 2016
DOL Fiduciary Rule Faces Another Suit by Annuity IndustryDOL fiduciary rule unfairly targets certain types of fixed annuity products, says IALCs Jim Poolman.
June 08, 2016
Financial Literacy Key Part of Retirement PreparednessAdvisors are familiar with the nudge economics features in defined contribution plans that encourage participation and help investors overcome inertia and procrastination.
June 08, 2016
Obama Vetoes Anti-DOL Fiduciary Rule Resolutions; Date Set for LawsuitNational Association for Fixed Annuities lawsuit against DOL seeks a preliminary injunction to stay the rule.
June 08, 2016
FINRA Fines Oppenheimer Nearly $3M on Leveraged ETF ViolationsOppenheimer & Co. failed to reasonably enforce policies prohibiting reps from selling retail customers of limited liquidity non-traditional ETFs.
June 07, 2016
State Street Wants Congress to Mandate Employee Retirement Plan ContributionsThe plan, which would pre-empt any state or municipal retirement plan, would include auto-escalation to a 12% savings rate.