Service Providers
The Department of Treasury is requesting comments regarding potential opportunities and risks presented by the development and adoption of digital assets.
The July 8 request comes following the March 28 Executive Order, “Ensuring Responsible Development of Digital Assets,” directing the Treasury—...
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Editor’s Note: This is the third in a series of articles about the 2022 NTSA Elite Advisors. The first is here; the second is here.
NTSA congratulates NTSA 2022 Elite Advisor Carla-Ann E. Goedtke, CPFA™, CRES, for her outstanding and unique accomplishments. Goedtke’s firm, Investors Choice...
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Don’t hesitate! Do you know of an elite advisor who deserves to be nominated for the NTSA 2023 Elite Advisor Awards? The nomination period began last week and is under way!
The NTSA Elite Advisor Awards’ goal is to recognize the very ‘best of the best’ financial advisor members of NTSA who have...
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A federal appellate court has backed the dismissal of an excessive fee suit, rejecting the notion that offering actively managed funds—even those with disappointing performance—by itself doesn’t support allegations of a fiduciary breach.
Interestingly enough, it’s the first such appellate court...
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Editor’s Note: This is the second in a series of articles about the 2022 NTSA Elite Advisors. The first is here.
NTSA congratulates NTSA 2022 Elite Advisor Alberto Gaglianese, CFP®, AIF®, CRES, for his outstanding and unique accomplishments. Gaglianese’s firm, Clearpath Wealth Partners, LLC, in...
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After a year in which many consumers had to rely heavily on digital tools for their financial needs, writes Ted Godbout in MarketBeat, a survey finds that self-reported “financial experts” use digital tools more often than others.
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NTSA 2023 Elite Advisor Awards nominations are open! The NTSA Elite Advisor Awards are significant lifetime achievement awards that honor NTSA financial advisor members who display the above characteristics.
Please nominate NTSA financial advisors with these attributes:
Best of the Best...
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The fiduciaries of yet another university 403(b) plan have been targeted with litigation—and while the allegations are familiar, the plaintiff’s attorney is new.
The suit—filed against both the fiduciaries (and those that appointed them) of the $1.9 billion Northeastern[1] University 403(b) plan...
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Editor’s Note: This is the first in a series of articles about the 2022 NTSA Elite Advisors.
NTSA congratulates NTSA 2022 Elite Advisor Virginia T. Harriett, CFP ®, CRES, for her outstanding, unique accomplishments. Harriett’s firm, Harriett Financial Group, Marlton, NJ, practices through Lincoln...
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There’s a battle brewing in Battle Creek about excessive recordkeeping and managed account fees.
Bradley H. Fleming, a former accountant at Kellogg’s, has sued his former employer, the Kellogg Co., its board of directors, its ERIA finance committee and its ERISA administrative committee claiming...
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Teachers like to work with financial professionals more than any other source regarding managing their finances and preparing for retirement, says a recent study—and that is especially pronounced among younger educators.
A majority of educators—52%—would rather have a financial professional ...
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Last week American Retirement Association CEO Brian Graff sat down with Tim Hauser, Deputy Assistant Secretary for Program Operations of the Employee Benefits Security Administration (EBSA), for some insights and perspective on the DOL’s Compliance Assistance Release on cryptocurrency and the...
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A bill before the New Jersey legislature will require that there be multiple vendors for purposes of providing 403(b) plans to certain school districts.
The legislation provides that a board of education of a school district with an enrollment of at least 1,000 students that offers a 403(b) plan...
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An increasing number of states are crafting and implementing retirement programs for employees whose employers do not offer one. All of them are new, but an industry insider discusses some of the states that have forged ahead on something newer than new.
Chad Parks, Founder and CEO of Ubiquity...
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The Senate Finance Committee on June 17 released the Enhancing American Retirement Now (EARN) Act—its counterpart to the House-passed SECURE 2.0—a massive piece of legislation that includes a number of key provisions supported by the American Retirement Association.
In fact, the committee has...
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The Great Resignation is showing signs of slowing, but there is a significant disconnect between management and employees on what it takes to retain workers in the post-COVID work environment.
Nationwide’s latest Agency Forward survey suggests the Great Resignation trend may be cooling, as few...
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Editor’s Note: This is part of an ongoing series that provides a look at content available through the NTSA Advisor’s weekly MarketBeat feature, an archive of which is contained in the Industry Intel section of the NTSA website here. This installment concerns serving clients and participants. ...
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Tech Talk discusses what internal controls are and why they matter.
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The IRS on June 3 announced that it is piloting a pre-examination retirement plan compliance program beginning in June 2022.
This program will notify a plan sponsor by letter that their retirement plan was selected for an upcoming examination. The letter will give a plan sponsor a 90-day window...
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One of the two enduring features of the NTSA Advisor is MarketBeat, which appears weekly and offers analysis of a matter relevant to, and important to, NTSA members and those whom they serve.
In fact, MarketBeat pre-dates the Advisor, having been made available to members in other forms before...
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