SEC
Fiduciary Standard: Backdoor Solution to 401k Plan Sponsors’ 12b-1 Problem?
On the one hand SEC Chairman Shapiro wants to “put the client first.” On the other hand, she delays addressing a conflict of interest research has shown to hurt investors. Is there a method to this madness?
Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 3/18/11
Just as the problems with Target Date Funds go mainstream, the GAO asks the DOL to look into disclosure rules that could torpedo annuities in 401k plans. Oh, and the House calls the SEC’s bluff.
Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 2/4/11
It really doesn’t appear the SEC is serious about the fiduciary standard. It seems more interested in using it as a pawn in a looming partisan fight. Where does this leave the proponents of the fiduciary standard? What other alternatives do they have?
SEC Fiduciary Report: Who Won? Advisers? Brokers? Or 401k Plan Sponsors?
Was the initial euphoria of proponents of the Fiduciary Standard premature? Read the fine print of the SEC report here and decide for yourself.
Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 1/14/11
As the world waits for the SEC to declare their decision on the fiduciary standard, the media spits out its last thoughts before the regulator makes its announcement.
Exclusive Interview: PlanSponsor’s Nevin Adams Says Plan Sponsors not Focused on Same Issues as Advisers & Regulators “Too Few 401k Plans” Annuities “Not Viable”
I wish we’d spend a tenth of the time we spend indoctrinating our kids about drug use and sex helping them understand the basics of money and investing.
SEC’s 12(b)-1 Proposal: Does It Actually Increase 401k Fiduciary Liability?
Fiduciary News interviews an industry spokesman, who, on the condition of anonymity, shares a shocking point in the SEC 12b-1 proposal that has, to date, failed to receive the media coverage one might expect.
Official SEC 12b-1 Fee Press Release – Regulator Seeks Public Comment (UPDATED)
The Official press release provided by the SEC asking for public comment.
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