NTSA Net Staff
By NTSA Net Staff 10/16/2019
Editor’s Note: This is an occasional feature in the NTSA Advisor. It is drawn from The Source, a book that covers technical, compliance, administrative and marketing aspects of the 403(b) and 457(b) markets. More information about The Source is available here.
Tip of the Week concerns issues to...
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By NTSA Net Staff 10/16/2019
In Episode 5 of the WOWcast series, past NTSA President and inaugural NTSA Elite Advisor Randy Aranowitz speaks with 2016 NTSA President and 2019 Elite Advisor Robert Young, President of One2One Wealth Strategies.
In Parts I and II of Episode 5, they discussed building a business, serving clients...
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By NTSA Net Staff 10/15/2019
In Episode 5 of the WOWcast series, past NTSA President and inaugural NTSA Elite Advisor Randy Aranowitz speaks with 2016 NTSA President and 2019 Elite Advisor Robert Young, President of One2One Wealth Strategies.
In Part I of Episode 5, they discuss Young building his business and his efforts...
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By NTSA Net Staff 10/15/2019
In MarketBeat, Nevin Adams writes that he wonders about how workers view the admonitions about how much they are supposed to be saving and how they act on them.
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By NTSA Net Staff 10/15/2019
An RIA working with an open-architecture platform and designing an investment menu for a plan may select a record keeper that supports the ability to add model portfolios to the plan menu. Tech Talk discusses whether these allocation models are considered discretionary services.
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By NTSA Net Staff 10/15/2019
Paper covers rock – but will it be enough to break scissors?
A consortium (an alliance of consumer organizations, labor unions, rural advocates, and print communications industry organizations) calling itself the Coalition for Paper Options – has officially called on the Trump Administration to...
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By NTSA Net Staff 10/10/2019
In Episode 4 of the WOWcast series, past NTSA President and inaugural NTSA Elite Advisor Randy Aranowitz speaks with Wat Keys, Vice President and financial advisor at CAPTRUST and one of the 2019 Elite Advisors.
In Part I and III of Episode 4, they discuss what inspires Keys serves his clients...
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By NTSA Net Staff 10/10/2019
Editor’s Note: This is an occasional feature in the NTSA Advisor. It is drawn from The Source, a book that covers technical, compliance, administrative and marketing aspects of the 403(b) and 457(b) markets. More information about The Source is available here.
Any distribution from a qualified 401...
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By NTSA Net Staff 10/10/2019
The Securities and Exchange Commission (SEC) has launched an investigation into whether federal securities laws have been violated by companies that administer teachers’ retirement plans.
According to The Wall Street Journal, the SEC has sent letters to companies that administer the plans seeking...
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By NTSA Net Staff 10/9/2019
ERISA fidelity bonds cannot be obtained from any bonding or insurance company. Bonds must be obtained from a surety or reinsurer that is named on the Department of the Treasury’s Listing of Approved Sureties, Department Circular 570.
Under certain conditions, bonds may also be obtained from...
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By NTSA Net Staff 10/7/2019
Tech Talk addresses whether distributions made due to a participant dying or becoming disabled are subject to ordinary income tax but not subject to the 10% premature distribution penalty.
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By NTSA Net Staff 10/7/2019
In Episode 4 of the WOWcast series, past NTSA President and inaugural NTSA Elite Advisor Randy Aranowitz speaks with Wat Keys, Vice President and financial advisor at CAPTRUST and one of the 2019 Elite Advisors. In Part I and III of Episode 4, they discuss the ways Keys serves his clients, with...
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By NTSA Net Staff 10/7/2019
In MarketBeat, John Iekel discusses Nevin Adams’ comments at a 2019 meeting of the DOL’s 2019 Advisory Council on Employee Welfare and Pension Benefit Plans concerning a new ARA effort to help plan sponsors with their obligations and improve the financial statement audit process.
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By NTSA Net Staff 10/3/2019
The New York Department of Financial Services (NYDFS) is seeking information regarding the way that 403(b)s are being marketed to teachers.
According to the Wall Street Journal (subscription required), NYDFS on Oct. 1 sent letters to “a dozen major insurers” requesting details regarding how they...
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By NTSA Net Staff 10/2/2019
In Episode 3 of the WOWcast series, past NTSA President and inaugural NTSA Elite Advisor Randy Aranowitz speaks with EFS Financial Advisors President Kent Schutte and EFS Financial Advisors Senior Financial Advisor Josh Decker.
In segments I and II of Episode 3, they discussed their practice and...
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By NTSA Net Staff 10/2/2019
Like their 401(k) brethren, 403(b) programs have taken steps to boost contribution and participation rates – and that’s not all they have in common.
According to the 11th annual 403(b) plan survey from the Plan Sponsor Council of America (PSCA), increased contributions by both participants and...
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By NTSA Net Staff 10/2/2019
Editor’s Note: This is an occasional feature in the NTSA Advisor. It is drawn from The Source, a book that covers technical, compliance, administrative and marketing aspects of the 403(b) and 457(b) markets. More information about The Source is available here.
Direct rollovers are not required for...
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By NTSA Net Staff 10/2/2019
An ERISA fidelity bond is a type of insurance that protects the plan against losses caused by acts of fraud or dishonesty: larceny, theft, embezzlement, forgery, misappropriation, wrongful abstraction, wrongful conversion, willful misapplication and other acts. Deductibles or other similar features...
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By NTSA Net Staff 10/2/2019
In MarketBeat, John Iekel writes about a blog entry that argues that just as periodic check ups with a physician are a good thing, so too are check-ups of employee benefits plans.
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By NTSA Net Staff 10/1/2019
In Episode 3 of the WOWcast series, past NTSA President and inaugural NTSA Elite Advisor Randy Aranowitz speaks with EFS Financial Advisors President Kent Schutte and EFS Financial Advisors Senior Financial Advisor Josh Decker. In Parts I and II of Episode 3, they discuss their practice and...
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