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Tag "SEC"

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.

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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.

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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.

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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.

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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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Washington Earthquake May Shake 401k Fiduciaries & Plan Sponsors (Part I of II)

For 401k plan sponsors and fiduciaries, this seismic events delivered out of the nation’s Capital on July 15 signals the start of significant changes in the way they operate their plans.

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Exclusive Interview with BrightScope’s Mike Alfred: Most 401k Plan Sponsors “Have No Idea…”

Why some target date investors should be furious, why expecting 401k plan sponsors to comment on a change they don’t understand would be asking far too much and just see what he says about 12b-1 fees.

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Exclusive Comments from Industry Insiders Suggest Fin-Reg’s Fiduciary Standard May Impact 401k Plan Sponsors

The adoption of a universal fiduciary standard may greatly impact how their plans operate. You might be surprised to hear what industry insiders are saying about it.

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4 Liability Reducing Strategies for Today’s 401k Plan Sponsor (Part II)

These three issues linger like a ticking time bomb. They’re out there. They’re going to go off at some point. We just don’t know when. Plan fiduciaries need to get ready for them.

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Yale/Harvard Study Reveals Disturbing 401k Fee Paradox

If the DOL requires the 401k plan fiduciary to ignore a fund’s investment performance, but the SEC still requires funds to disclose that performance, which will 401k investors choose? More importantly, who’s left holding the liability bag?

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