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U.S.-listed ETF assets rose by approximately $20 Billion in May with International, Style, Size, Specialty and Broad Market ETFs experiencing considerable asset growth.

More than two-thirds of plan sponsors say they want the Securities and Exchange Commission (SEC) to draw clearer lines for disclosure requirements for commissions paid to brokers for...

High-net worth investors, at least those who rely on the services of a Registered Investment Advisor (RIA), are eschewing index funds for a more active approach.

It’s an issue that has plagued humankind ever since men and women began living together - with indoor plumbing.

For failing to properly supervise brokers delivering misleading information to plan participants during retirement seminars, Citigroup Global Markets, Inc. will settle with the NASD for more than $15...

The second of seven ineffective habits of retirement plan advisers

Participants’ mood about their financial future has fallen off significantly during 2007 but sponsors can encourage participants to meet with advisers and construct or reconstruct a retirement savings...

Within three years, socially responsible investment (SRI) options in defined contribution retirement plans by 2010 will have 60% market penetration.

Former managing directors at Putnam Investments Justin Scott and Omid Kamshad have agreed to each pay $400,000 to settle charges with the Securities and Exchange Commission (SEC) over...

A new organization, called the Council of Independent 401(k) Recordkeepers (CIKR), has formed to educate and advocate on issues of relevance to independent 401(k) plan recordkeepers.

Plan sponsors of prototype Roth IRAs interested in taking rollovers from 402A Roth Accounts first have to change their IRA documents to be allowed to do so.

Prudential Financial, Inc. has come out with a group of variable universal life insurance contracts for informally funding nonqualified benefit plans, including Supplemental Employee Retirement Plans (SERPS) and...

The Retirement Services division of InterOcean Wealth Management has formally introduced a new fiduciary protection service for retirement plan sponsors called The Fiduciary Compass.

WisdomTree Investments, Inc. announced the launch of the WisdomTree International Real Estate Fund on the American Stock Exchange Tuesday.

With the so-called Merrill Lynch Rule a thing of the past, some advisers will need to clarify their role, though it's not likely to broadly impact the managed...

Market dynamics bear promise for investment-only firms in the defined contribution space.

A couple of weeks ago, I stumbled across a paper published by the National Bureau of Economic Research titled “New Estimates of the Future Path of 401(K) Assets.″

Socially responsible mutual fund firm Calvert has launched a new fund that seeks long term capital appreciation by investing primarily in non-U.S. small-cap and mid-cap stocks both in...

New York Life Investment Management’s retirement plan services division has come out with a program to help employers better understand workers’ retirement planning behavior by categorizing plan participants...

Principal Financial Group has released a program that gives fledgling businesses some of the same retirement plan tools available to large plans, such as flexible participant services and...