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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 1/3/14

January 06
00:02 2014

1020805_25983300_Trending_Topics_2014.01.06_stock_xchng_royalty_free_300Welcome to Trending Topics. Each Monday, we’ll give you a quick synopsis of the major news events and trends impacting ERISA plan sponsors, 401k fiduciaries and those in the business of supporting these fine folks. If you smile when you read these entertaining snippets, well, that’s the idea. If you think we’re missing something important, then please let us know. But, note this well, we avoid press releases masquerading as news stories (even though they might be reported by journalists) as well as mass media pabulum that merely mouths investment myths and mistakes.

FiduciaryNews Lead Story:
2013’s Top 5 Stories,” (, December 31, 2013). Why did the greatest story of the year only end up #3 on this list?

Compliance – The Look Ahead:
Seems like all folks were doing last week were running “best of” articles (ourselves included). Just goes to show you how many people decided to lay low last week. If they weren’t looking behind, then then were looking ahead. Here’s one of the latter.
The DOL Retirement Plan Pipeline in 2014,” (PLANSPONSOR, December 30, 2013) Here’s a sneak-peek at the goings-on people expect to see from the DOL this coming year.

Fiduciary – FINRA Folds?:
Makes you kinda wonder. What does FINRA know about the DOL’s plans that the writer of the above article didn’t?
FINRA warns against conflicts in retirement-plan rollovers,” (InvestmentNews, December 30, 2013) Looks like FINRA might be anticipating a more aggressive stance on the part of the DOL later this year.

Fees – If a Fee In a Forest…:
Apparently, no one would hear it, or at least they weren’t listening last week.

Investments – The Great Relief:
The year is over, long live the New Year. At least a lot of folks don’t have to worry about beating a frothy market. That anxiety generally doesn’t start until the end of the second quarter.

Major Plan Sponsor Moves and News:
What are other plan sponsors and fiduciaries doing with their plans? And how are participants responding? The latest in legal proceedings involving plan sponsors and fiduciaries.
401k Bottom Line,” (Financial Advisor, December 31, 2013)
Push Is On To Increase Social Security Retirement Age,” (Financial Advisor, January 2, 2014)
The most important 401k news stories of 2013, Part 2,” (BenefitsPro, January 2, 2014)
IRAs: Creative Solutions For Required Minimum Withdrawal Dilemma,” (Financial Advisor, January 3, 2014)
IRA Rollovers Among Hot Areas for FINRA Scrutiny in 2014,” (ThinkAdvisor, January 3, 2014)
These Retirement Stats Paints A Troubling Picture,” (Financial Advisor, January 3, 2014)

Wisdom from Some of Our Favorite Blogs:
The Chicago Financial Planner: Top Blog Posts of 2013 | A Year-End Review |
fi360: Fiduciary Links: DC Court Makeover May Bode Well for Fiduciary Rules in 2014 |
Scholarly Financial Planner: “Time Traveling” Through the Vastness of Knowledge and Human Understanding |

Hot Tips from Popular Web Resources:
NAPA Net: Perez Lobbying Congress on Fiduciary Rule |
NAPA Net: Stable Value Investing, Post-2008 |
NAPA Net: Detroit Not a Template for California Cities |

Miss anything? Feel free to add a comment below.

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About Author

Christopher Carosa, CTFA

Christopher Carosa, CTFA


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