Week of February 10, 2017
NOTE FROM THE EDITOR
Happy Friday, readers! Another fast-paced week of news on www.planadviser.com was dominated by discussion of the future of the DOL fiduciary rule—and yet there is only a little more certainty now than we had on Monday. Following a court victory for the rulemaking in Texas, the latest development is that DOL submitted paperwork to the OMB to commence its own regulatory review related to the fiduciary rule, as ordered by the newly installed president. The content of the paperwork is not yet public, but rumors are swirling that a 180-day delay is being sought. Get all the latest industry insights below. 
MOST POPULAR STORIES
Products
2016 Adviser Choice Awards
PLANADVISER announced the winners of the third annual Adviser Choice Awards, to be handed out at the annual PLANSPONSOR/PLANADVISER Awards for Excellence dinner March 30.
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Compliance
TIAA Loan Practices Questioned in Latest ERISA Lawsuit
A participant who drew four loans from a retirement account over the years argues her provider inappropriately kept portions of interest payments that should have been credited back to her account. 
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Compliance
Fiduciary Rule Double-Take Leaves Retirement Industry Perplexed
The Trump White House has clearly tried to label itself as pro-business, but the effort to halt the fiduciary rule has so far injected more confusion than clarity for advisory firms. 
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Compliance
Trump Orders Review of DOL Fiduciary Rule
Of course, this review could lead to a delay in, or even halt of, implementation of the rule.
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Deals and People
Retirement Industry People Moves January 30 to February 3
MassMutual Appoints 5 Managing Directors in Retirement Services; OneAmerica Appoints Head of Guaranteed Income Products; Fiduciary Vest Names New Partner; and more.
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EDITOR’S CHOICE
Texas Court Adds to Fiduciary Rule Debate Among Retirement Providers
A Texas district court judge has rejected industry arguments that the DOL exceeded its authority in crafting the forthcoming fiduciary rule—what this spells for the regulation’s future under the Trump administration is unclear.
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Setting Confusion Aside, Firms Act on Fiduciary Reform
The latest results of the Fidelity Advisor Investment Pulse survey show advisers continue to focus on implementation of new fiduciary controls across different elements of their practices.
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Lawmakers Move to Block Final Rule on State-Run Retirement Plans
Their concerns are that small businesses will be discouraged from offering retirement plans to employees, and that employees put into state-run plans will not have the protections of ERISA and will have limited control over their retirement savings.
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Inside Look At SEC Deficiency Letter Trends
A new publication from the SEC outlines the five most frequent compliance topics identified in deficiency letters sent to SEC-registered investment advisers.
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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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