Week of December 02, 2016
NOTE FROM THE EDITOR
Happy Friday, readers! Here at PLANADVISER we have the privilege of interviewing and working with some of the best and brightest minds in the retirement planning industry. We are particularly proud of our stable of columnists who regularly contribute thoughtful insights and articles to our bi-monthly print edition. Collected below are our most recent columns from esteemed ERISA attorneys including Fred Reish, Joan Neri, Marcia Wagner and David Kaleda. 
MOST POPULAR STORIES
Compliance
Stable Value Fund Suit Sent Back for Amended Complaint
A federal judge has asked for an amended complaint showing that a stable value fund provider set interest crediting rates below actual rates of return in order to make a profit.
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Compliance
Annuities Industry Fiduciary Challenge Dwelt Blow In Federal Court
A U.S. District Court has handed down a DOL-friendly ruling in one piece of anti-fiduciary rule litigation that is seeking more leniency for fixed-index annuity providers. 
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Data and Research
Retirement Is Americans’ No. 1 Financial Priority
But people give themselves a “C” when it comes to actually being prepared to retire.
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Compliance
Wells Fargo Self-Dealing Suit Questions Committee Practices
The latest example of retirement plan fee litigation questions the offering of an “easy enrollment” function that favored investment into the company’s own TDF mutual funds. 
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Deals and People
Retirement Industry People Moves
Fidelity CEO Abigail Johnson to Succeed Father as Chairman; Hatteras Welcomes Back Managing Director; AB Creates Chief Marketing Officer Role 
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EDITOR’S CHOICE
ERISA VISTA: Sweeping Changes in Advice
Retirement plan advice has changed to respond to: plan sponsors’ desire for assistance in satisfying their fiduciary duties; the increased pressure on reducing costs; and the needs of aging Baby Boomers. Here’s our list of some of the most significant changes.
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FIDUCIARY FITNESS: IRS Restricts Salary Deferrals for NQDC Plans
The new proposed 457(f) regulations adopt a similar rule for that type of plan, so that the new 457 requirements will not apply in the event of such a short-term deferral.
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COMPLIANCE CONSULT: The Last 10 Years
The last decade has clearly seen a rise in class action lawsuits under the Employee Retirement Income Security Act, which have left widespread implications, especially for 401(k) plan sponsors. Of particular note are lawsuits focusing on the inclusion of employer stock as an investment option under a participant-directed 401(k) plan—what are now known as “stock drop” suits.
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2016 PLANADVISER Retirement Plan Adviser Survey
When asked to list the five fund families they most often recommend to plan sponsors, chose Vanguard as No. 1, down from 87% last year. Active management is still largely valued, though, as the rest of the top five all have active management funds: American Funds, T. Rowe Price, J.P. Morgan and Fidelity.
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Editorial: Alison Cooke Mintzer alison.mintzer@strategic-i.com
Advertising: Paul Zampitella paul.zampitella@strategic-i.com
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