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Tag "FINRA"

Compliance Headaches Coming for 401k Plan Sponsors Due to New Fiduciary Regs in 2014?

What might surprise you the most is how easily the industry will adapt to the new fiduciary guidelines.

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

Looking ahead at the DOL and Did FINRA just Fold?

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 10/25/13

Changes regs increase need for advisers, FINRA cries “Uncle” and a bullish sign?

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 8/30/13

It’s Big Guv vs. Big Guv on bankrupt cities’ public employee pensions, real fiduciary split interests and time for active investing to shine?

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 6/14/13

Regulators regulating, advocates advocating and sacrificing sacred cows.

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 1/18/13

Proof retirees don’t want annuities, brokers try to make the fiduciary issue their issue and more bad investment decisions.

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 1/11/13

403(b) ills, a fiduciary stew and the return of investment performance.

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 12/14/12

More taxing threats, defining fiduciary down and the failure of fee disclosure.

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 7/13/12

Corporate pension woes continue as the industry tries to regulate itself before the regulators do and everybody’s talking about fees.

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