Retirement Plans

Could You and Your Clients Win the Super Bowl?

We must always guide clients with a well laid-out holistic strategy, even if their asset-accumulation season has ended. (By Ilene Slatko)

Advisors Dabbling in DC Market Seek Greater Support: Cerulli

Providing them with tools, education and guidance would help them grow their retirement-plan businesses, says Cerulli Associates.

SEC Fines TIAA Unit $2.2M for Violating Reg BI

The SEC said a TIAA broker-dealer charged some retail customers too much to invest in mutual-fund choices in an IRA.

IBM Reopens Its Frozen Pension Plan, Saving the Company Millions

The company also has stopped making contributions to employee 401(k) accounts. The move will benefit some employees and hurt others.

Even Millionaires Flunk Retirement 101: Study

The American College of Financial Services plans to use its new research to help advisors improve client conversations.

Ending Economic Discrimination Means Better Old Age for All

A Social Security executive urges retirement professionals to address economic discrimination, particularly for Black women.

Mega Roths Help Clients Boost Savings, Lower Taxes

As an advisor, there’s a lot you can do to help clients get the most out of their retirement savings accounts. (By Monica Dwyer)

To Save Social Security, Scrap Retirement-plan Tax Perks: Munnell

Tax deferrals on 401(k)s and IRAs cost $185 billion but have failed to increase retirement savings, says a new report from Boston College.

DOL Proposal Aims to Reduce Number of Lost 401(k) Accounts

The Department of Labor is proposing a regulation that could reduce the number of lost retirement accounts after workers change jobs.

The Income Gap Jeopardizing Retirement for Millions

A recent study defines two middle classes, with the lower tier having steadily lost ground financially over the past two decades.

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SEC Charges Investment Advisors for Overstating Use of AI

The two firms will pay $400,000 in total civil penalties for false marketing and the SEC is on the lookout for more offenders.

JPMorgan Fined $348 Million for Lapses in Trade Monitoring

The bank had failed to account for “billions of instances of trading activity” on as many as 30 different platforms, regulators said.

Top-Heavy Market Doesn’t Mean Steep Correction. Here’s Why

It's been 100 years since the market has been this top heavy, giving rise to understandable fears. History suggest those fears are overdone.

Judge: Minority-Business Agency Can’t Consider Race

A federal judge in Texas has barred a government agency from using race to reject entrepreneurs looking for assistance.

IRS Alert: Weight-Loss Food Is Typically Not a Medical Expense

Companies are falsely claiming that FSAs and HSAs cover or reimburse general health and wellness expenses.

Annuities Continue March Upward

Annuities saw an impressive boom in 2023, with sales reaching a new all-time high, LIMRA announced.

Financial Discipline Among Americans Sliding, Study Shows

People are doing less planning and feeling more financially insecure, Northwestern Mutual's latest research finds.