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Registered Rep. October 1, 2006 Kevin Burke	60 Seconds with...David Tyrie A short interview with the head of Putnam's retirement services unit, who works directly with 401(k) sponsors and financial advisors.
Investment Advisor January 2007 Savita Iyer	DC Advisor-Sponsor Matchmaker The relative lack of corporate advisors is a result of inertia on the part of plan sponsors; despite pronouncing themselves dissatisfied with their retirement plans, plan sponsors do not take the easy step of finding a new advisor.
Investment Advisor February 2007 Melanie Waddell	Clear Road Ahead Commonwealth's retirement platform, Preferred Portfolio Services Retirement Solutions, keeps financial advisors compliant with ERISA and PPA.
Investment Advisor February 2007 Savita Iyer	Taking Advantage of the Pension Protection Act Financial advisors need to understand fully what the Pension Protection Act means and how it pertains to their business.
Financial Advisor March 2012 Juliette Fairley	More 401(k) Avenues Demand is increasing for advisors who can help companies with their retirement plans.
Financial Planning September 1, 2006 David Liebrock	Mining 401(k) Gold Small- and mid-sized companies are looking for help with their retirement plans. Here's how to reach out to this untapped market.
Financial Planning January 5, 2008 Elizabeth O'Brien	The New Fiduciaries LPL and Fiduciary360 educate advisors on retirement consulting in the Pension Protection Act of 2006 era.
On Wall Street September 1, 2012 Elizabeth Wine	Financial Advisors Turn to the 401(k) Market for More Business Advisors look to 401(k) plans as fertile ground for business.
Investment Advisor November 2005 Melanie Waddell	Take Your Pick Retirement plan providers are tempting advisors with numerous products and services.
Registered Rep. July 24, 2012 Jerry Gleeson	Fee Disclosure - Can You Handle the Truth? New federal rules are forcing advisors to spell out what they're charging for running 401(k) plans and what their clients are getting for the money. It could lead to some difficult conversations.
Investment Advisor May 2007	That's Not How I Read PPA Letters to the editor: DOL Requires More Due Diligence for 401(k) Advisors... You say adviser, we say advisor... Corrections...
Registered Rep. April 1, 2007	Confronting the F Word Experts suggest that reps who ultimately become fiduciaries will require additional training. Simply holding various series licenses is probably not going to cut it. There are now more options than just a few years ago.
Investment Advisor February 2008 Kara P. Stapleton	Win Over Those Rollovers There's a big business in moving clients to IRAs, the Cerulli Edge Retirement Edition study suggests.
Financial Advisor November 2012 Jerilyn Klein Bier	No More Secrets New 401(k) fee disclosure rules could generate big opportunities for advisors.
Financial Advisor May 2012 Michael J. Mcdermott	Day Of Reckoning Fee-based advisors should benefit when 401(k) participants soon find out the cost of their plans.
On Wall Street April 1, 2010 Trone & Harvey	Are The Retirement Waters Now Murkier? A 40-page document of new regulations from the Department of Labor sets out to ease the challenges of offering investment advice to retirement plan participants and to lessen any conflicts of interest.
Investment Advisor March 2007 Melanie Waddell	Leading the Way This year is shaping up into one in which advisors will have to stay compliant with a plethora of retirement planning rules and regs if they expect to stay firmly rooted in the retirement planning arena -- and doing what's best for their clients.
On Wall Street March 1, 2010 Bo Bohanan	Do You Really Want To Be A 401(k) Consultant? It is fairly easy to spot the advantages and opportunities of working in this marketplace. But, not all of the pitfalls are as evident.
Entrepreneur December 2006	Advise Advisory Hiring fiduciary advisors for your employees.
Financial Planning April 1, 2012 Donna Mitchell	The BIG Fix Familiar as 401(k)s are, planners love to hate them, and they'll readily cite long lists of faults with the plans themselves, as well as the way the $2.8 trillion 401(k) industry operates.
Financial Advisor December 2005 Raymond Fazzi	Into The Black Hole Of 401(k) Consulting Advisors find that the need on the part of both sponsors and participants for professional and unbiased advice regarding 401(k) asset allocation and management is great.
Registered Rep. November 1, 2005 Kristen French	Trolling for 401(k) Treasure Congress is expected to enact new pension legislation that would make it easier for financial advisors to work with participants in company retirement programs.
Financial Planning December 1, 2010 Trone & Harvey	Get Smart When the U.S. Department of Labor speaks, we should listen, whether we work with qualified retirement plans or not. The DOL made several announcements in October that are going to be significant game changers for the financial services industry.
Financial Advisor May 2008 Marla Brill	Under Pressure Financial advisors who provide services to businesses with 401(k) plans governed by the Employee Retirement Income Security Act have a new reason to review fiduciary practices and double-check professional liability insurance.
Investment Advisor October 2008 Melanie Waddell	DOL Floats Advice Proposals The Department of Labor recently announced two proposed rules under the Pension Protection Act designed to make investment advice more accessible for millions of Americans in 401(k)-type plans and individual retirement accounts.
Financial Advisor June 2012	LPL Financial Launches Rollover Program LPL Financial is launching a new platform to help advisors increase their retirement business by serving more individuals rolling over their 401(k) plans.
Financial Advisor June 2010 Stephen K. Davis	What To Do About The 401(k) How do we bring better investment success to the 401(k)? For one, participants need help from financial advisors.
Financial Planning November 1, 2006 Marshall Eckblad	Advisor Pulse Financial planners are working hard to meet the needs of their retiring clients. But according to a recent survey, they might be doing so at their own expense.
Financial Advisor May 2007 Ken Ziesenheim	Diamonds In The Rough The new Pension Protection Act offers opportunities for financial advisors, if you know where to dig.
Registered Rep. June 3, 2010 Kristen French	For Fiduciaries, Fee Monitoring Gets More Scrutiny Advisors who act as fiduciaries have to keep a closer watch over fees and expenses than ever before.
Registered Rep. May 20, 2011 Diana Britton	Fee-Only FAs Positioned Well to Capture Retirement Plan Assets Fee-only financial advisors are well-positioned to capture retirement plan clients because of their fee transparency and their business model's alignment with ERISA.
Financial Planning October 2, 2007 Jack W. Callahan	Embrace Change Advisors have to adapt their practices to accommodate retiring clients.
Investment Advisor June 2007 Kara P. Stapleton	Consolidate and Refer Fidelity Investments introduced a report showing that advisors who offer retirement income planning services have found that their clients are more satisfied, consolidate more assets with them, and provide more referrals for new business.
Investment Advisor June 2008 Melanie Waddell	Retirement Planning at Envestnet The former president of Ibbotson plans 401(k) advice platform for Envestnet Asset Management's newly established Retirement Services Group.
Financial Advisor June 2011 Jerilyn Klein Bier	Tapping 401(k) Opportunities Financial advisors in the 401(k) space are optimistic about future prospects in a shifting regulatory landscape.
On Wall Street July 1, 2010 Frances A. McMorris	Confusion Reigns Among Wirehouse Advisors On The Fiduciary Issue With all the frenzy over the call for a universal fiduciary standard for all financial and investment advisors, it appears that those in the wirehouses don't really understand the debate.
Investment Advisor November 2006	Now and Then When it comes to plowing through the complexities that are associated with retirement planning, advisors need all the help they can get. Fidelity looks ahead to dominate retirement planning now.
Registered Rep. April 1, 2007	401(k)s Coming Your Way? Big Blue announced that it has hired Fidelity Investments and The Ayco Company to offer financial advice to its U.S. employees. IBM's move may be a first for a major U.S. company. That's good news for financial advisors.
Financial Advisor November 2011 Jerilyn Klein Bier	Best-Laid Plans Advisors who've built substantial 401(k) practices share their strategies.
Registered Rep. July 21, 2006 Kristen French	Advisors Not Filling High-Net-Worth Retirement Needs, Survey Says Although few high-net-worth investors are prepared for the kind of retirement they expect, advisors continue to focus on wealth accumulation at the expense of long-term financial planning.
Investment Advisor March 2008 Melanie Waddell	Focus! There's plenty to think about when doing retirement planning for clients; read on for the priorities that you should be doing something about, right now.
Financial Advisor December 2009 Mary Rowland	Rough Road The rules on providing investment advice to 401(k) plan participants have been shifting, and the end of the controversy is not in sight.
Financial Advisor August 2007 Ken Weber	What You Don't Know Can Hurt You As a financial advisor, you may deal with or be asked to comment upon retirement plans for your clients. Increasingly, it is becoming clear that you have a fiduciary duty -- in spirit, if not in fact -- to assist your clients in uncovering all the fees involved with their plan.
Financial Planning September 1, 2013 Ilana Polyak	For Advisors, a Big 401(k) Opportunity As regulatory scrutiny of plans increases, advisors are in the sweet spot to capture new business.
Registered Rep. August 28, 2015 Mark Miller	Managed Accounts in The Workplace Retirement savers who get professional help with their 401(k) portfolios stand a good chance of seeing better outcomes than those who don't.
Financial Planning August 1, 2007 Marshall Eckblad	Advisor Pulse If a new survey is to be believed, advisors who help their clients with retirement planning -- and that's most of you -- will soon face a difficult choice: Change the way you service clients or watch your profits shrink.
Registered Rep. October 1, 2006 John Churchill	Deciphering the Rules of Retirement Advice Title VI of the the Pension Protection Act, far from being a clear-cut signal for reps to dive into the retirement advice business, does, however, open the door wider to advice giving.
Investment Advisor January 2007 Ken Ziesenheim	The Other Fiduciary Issue Many members of company retirement plan investment committees are not fully aware of the nature of their fiduciary responsibilities.
CFO December 1, 2009 Randy Myers	A Question of Balance The much-maligned 401(k) plan is being beefed up. So are the penalties for failing to manage it well.
Registered Rep. February 10, 2012 Mark Miller	New Focus on Small Workplace Retirement Plans Means Lower Fees, Opportunity for RIAs The spoils of the 401(k) market have always gone to the large players -- big retirement plan providers providing the best, most efficient plans to big plan sponsors. But small is starting to look beautiful.