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Investment Advisor June 2007	News & Products SEC Chairman Christopher Cox said the SEC's examination of what goes into a 401(k) should be showing "progress" in the next few months... The ICI released a report May 7 revealing that Americans held a record $16.4 trillion in retirement assets... etc.
Registered Rep. May 26, 2005 Kristen French	Under ERISA, No Padding Profits with Revenue Sharing Under a recent Department of Labor directive, revenue-sharing arrangements between mutual funds and advisors to employee benefit plans can no longer be used to pad profits.
Investment Advisor September 2008 Melanie Waddell	Turf Wars A conversation with former SEC Commissioner Roel Campos about the Treasury's Blueprint for financial services reform.
Registered Rep. March 11, 2009 Halah Touryalai	Extreme Makeover: SEC With or without an increased budget, the SEC wants to make up for its shortcomings.
Investment Advisor July 2008	News & Products, July 2008 Department of labor will continue to scrutinize the indirect compensation that advisors acting as pension consultants receive... The number individuals participating in HSA-eligible high-deductible health plans jumped significantly since 2004... etc.
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.
OCC Bulletin June 1, 2006	Interagency Agreement on ERISA Referrals The agreements facilitate the information-sharing process among employees of the banking regulators and Department of Labor.
Financial Planning October 1, 2010 Donna Mitchell	The Catalyst Ted Benna, developed the workplace-sponsored 401(k) retirement plan, is arguably the most influential employee benefits consultant working today.
Registered Rep. January 16, 2013 Diana Britton	DOL's Fiduciary Proposal Presents Renewed Threat to Securities Industry SIFMA expects a DOL fiduciary proposal in the second quarter of this year, renewing the industry's concern over the possible legislation, which the organization says is contrary to the SEC's.
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 June 1, 2011 Melanie Waddell	Schapiro Says SEC to Focus in July on Fiduciary, 12b-1 The Commission will look at fund regulation "in tandem" with RIA/BD reform.
Investment Advisor December 2009 Melanie Waddell	Retirement News DOL testimony on fiduciaries... Claims against advisors... Research on roller coaster redemptions...
The Motley Fool December 22, 2006 Dan Caplinger	Do Pensions Beat 401(k)s? A recent study shows that investors aren't doing as well on their own and underscores the need for employees to understand and take full advantage of their retirement plan options.
Investment Advisor June 2007 Melanie Waddell	SEC Furthers Tool for Investors, While Frank Plans Hearings The SEC is working on an interactive system using the computer language called XBRL that's designed to give investors the tools they need to more easily compare mutual funds.
Investment Advisor June 2010 Melanie Waddell	Retirement Planning: Lifetime Income, Target Date Funds To Center Stage DOL, SEC plan three-step target date fund guidance.
Registered Rep. September 19, 2011 Kristen French	Breaking: DOL Will Repropose Its Fiduciary Rule The Department of Labor announced Monday that it would again propose its rule on the application of the fiduciary standard to retirement accounts.
Registered Rep. April 1, 2013 Diana Britton	The New Face of The Fiduciary Just when the industry thought it didn't have to worry about the DOL, the agency has made it clear that its fiduciary standard is imminent. For registered reps and RIAs alike, it could change the game.
Registered Rep. October 22, 2002 Rick Weinberg	Merrill to Reps: Go Get 401(k) Business Merrill Lynch advisors are now going to offer participants in Merrill-run retirement plans specific buy and sell recommendations. Indeed, participants may elect to turn over all investment decisions to Merrill advisors.
Financial Advisor January 2004 Jay Gould	Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react?
Registered Rep. October 1, 2005 John Churchill	Regulation With a Smile The SEC ranked fifth in a federal government study titled "2005 Best Places to Work."
Investment Advisor December 2007 Melanie Waddell	Grasping the New 403(b) Rules Changes to 403(b) plans provide opportunities for financial advisors, retirement experts say.
Financial Advisor August 2007 Tracey Longo	What's Your Retirement Brand? Unless you're branding yourself a retirement income planning specialist and it's clear in clients' minds you're going to do retirement income planning for them, your client relationships honestly may be in peril.
Investment Advisor July 2009 Melanie Waddell	Retirement News A new study of target-date fund investments by the Employee Benefit Research Institute... EBSA once again extends the applicability and effective dates of the final rule on investment advice...
Registered Rep. March 13, 2012 Jerry Gleeson	EBRI Study: Americans More Pessimistic About Retiring Well, Fewer Going To Advisors Saving for retirement, and using a financial advisor to provide help in planning for the golden years, are a low priority for American workers, an annual survey by the Employee Benefit Research Institute says today.
The Motley Fool December 30, 2009 Selena Maranjian	See No Retirement, Have No Retirement Don't keep your head in the sand when it comes to planning your future.
Investment Advisor September 2007 Melanie Waddell	Failure to Compute? The Department of Labor is set to tell Congress by year-end if computer models are suitable for IRAs.
Investment Advisor December 2007 Elizabeth D. Festa	Fighting the Good Fight on 401(k)s In his new book, Stop the 401(k) Rip Off, David Loeper rails against the hidden fees in 401(k) plans and attempts to arm participants with the ability to uncover the fees and approach their employer about offering less expensive funds in their plans.
The Motley Fool June 28, 2004 Selena Maranjian	Retirement Funds Ballooning Investors have fatter retirement accounts, with much in mutual funds.
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 February 1, 2013 Kenneth Corbin	Regulatory Forecast Bodes Change Advisors could see talks on oversight and a fiduciary standard move forward this year.
Investment Advisor October 2007 Melanie Waddell	Helping the Most Vulnerable Retirees Lawmakers, the Securities and Exchange Commission, and state regulators are bent on making sure advisors with designations touting expertise when it comes to helping seniors, the most vulnerable retirees, are closely scrutinized.
Financial Planning November 1, 2010 Trone & Harvey	The New Rules of the Road The following four regulatory reforms will likely have the most impact on the financial services industry over the next 24 months. Here's a short synopsis of what they will require.
BusinessWeek December 22, 2003 Amy Borrus	Funds: Leaving Little Guys Out In The Cold The SEC's cleanup of mutual funds could shortchange small investors.
Investment Advisor February 2009 Kara P. Stapleton	Retirement News & Products Recent research by the Investment Company Institute found that despite a 40% drop in the U.S. stock markets, the vast majority of U.S. workers who invest for retirement via 401(k) plans are staying the course.
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.
The Motley Fool June 3, 2009 Dan Caplinger	4 Easy Steps to a Richer Future If you got a late start saving for retirement, here's how you can get caught up.
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.
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.
The Motley Fool December 13, 2006 Dan Caplinger	Risky Business for Small Companies For many small businesses and their employees, employer-sponsored retirement plans remain an unfulfilled dream.
On Wall Street April 1, 2010 Coghlan & Hadley	Retirement Catch-22: Too Young To Retire, Too Old To Hire The labor market has thrown a monkey wrench into the admirable retirement plans of many seniors and put many of them in a major bind.
Financial Planning March 1, 2007 Lynn Hume	The Bond Buyer SEC Votes on Rules for Rating Agencies: The proposed rules would implement provisions of the Credit Rating Agency Reform Act of 2006, which Congress approved and President Bush signed to foster increased competition, transparency and accountability among rating agencies.
Investment Advisor June 2008 Melanie Waddell	ICI's Retirement Numbers The government and policymakers must work together if the 401(k) plan is going to remain the dominant private-sector device for retirement savings, according to the president of the Investment Company Institute.
Investment Advisor February 2009 Melanie Waddell	Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization.
Financial Advisor March 2012 Juliette Fairley	More 401(k) Avenues Demand is increasing for advisors who can help companies with their retirement plans.
Investment Advisor February 2009 Melanie Waddell	Out of the Frying Pan, Into...? While most investors and their advisors are happy to say good riddance to 2008, the collective wisdom among economists and investing executives is that the global financial crisis will usher in a year of global recession and deflation risk.
The Motley Fool November 15, 2010 Dan Caplinger	Stop This Dumb Fee Once and for All 12b-1 fees are a relic of a dying breed of mutual funds.
The Motley Fool July 6, 2011 Dan Caplinger	Make Your Retirement Savings Go Further People have saved more than ever, but how can they utilize the best strategies to turn their investments into cash?
Investment Advisor April 2009 Melanie Waddell	All About Enforcement It's seems a daily occurrence now that the Securities and Exchange Commission levies an enforcement action against a financial services firm
On Wall Street January 1, 2010 Matthew Leung	Getting Retirement Portfolios Back on Track Previous assumptions about asset allocation, diversification and the appropriate levels of risk in portfolios are being challenged.
BusinessWeek January 23, 2006 Amy Borrus	The Unlikely Hardnose At The SEC Securities & Exchange Commission Chairman Chris Cox wants all CEO pay revealed.