Week of May 05, 2017
NOTE FROM THE EDITOR
Happy Friday, readers! This week brought the appointment of a new Chair at the Securities and Exchange Commission, Jay Clayton. Under the outgoing chair’s leadership the SEC took a more direct and aggressive role in policing the retirement investment marketplace. It remains to be seen what approach Clayton will take as chair, but it stands to reason that, as a Republican-appointed official, he will be more laissez faire in his approach to government intervention in the client-adviser relationship. Stay with www.planadviser.com for the latest coverage of SEC, DOL, FINRA and more. 
EDITOR'S CHOICE
Jay Clayton Named SEC Chair At Pivotal Time For Industry
President Donald Trump nominated Clayton on January, 20, 2017, and he was confirmed by the Senate on May 2. The nomination by President Trump sends a clear signal to advisers about the likely style and character Clayton will bring to the Commission, especially compared with the ostensibly aggressive approach outgoing Obama-era Chair Mary Jo White brought to the role.
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Mandatory RIA Succession Planning in the Works at SEC
The Securities and Exchange Commission is proposing a new rule and rule amendments under the Investment Advisers Act of 1940 aimed at bolstering advisory industry succession planning. 
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Broad SEC Initiative Targets RIAs and Brokers
SEC staff intends to revamp focus on registered investment advisers and broker/dealers selling investment products to retail investors and retirement savers.
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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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Rumbles of SEC Uniform Broker Standard Growing Louder
The Securities and Exchange Commission has given several signs that it could soon introduce a uniform standard of client care for registered brokers and advisers. 
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MOST POPULAR STORIES
Compliance
Still a Chance for Tax Changes to Retirement Plans
There is still a chance of proposals from the Trump administration and for discussions in Congress to come to fruition.
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Deals and People
Retirement Industry People Moves
Aria Retirement Solutions Expands Leadership; Cetera Financial Group Appoints Board Member; and more.
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Compliance
New Pilot Takes the Helm at Department of Labor
The newly confirmed Secretary of Labor, Alexander Acosta, will steer from the top the effort to either overturn or leave in place the Obama-era fiduciary rule and other regulatory reforms. 
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Investing
Does White Labeling Conflict With Transparency Trends?
At a recent PLANADVISER focus group event, it was evident that small- and mid-market plan sponsors had little interest in “white labeling” investments—and their rationale might surprise you. 
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Magazine
Thinking Efficiently
How retirement advisers can cultivate the small-plan market
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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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