Service Providers
Considering the Department of Labor’s proposed prohibited transaction class exemption for investment advice fiduciaries, Sen. Patty Murray (D-WA) indicated at the 2020 NAPA D.C. Fly-In Forum July 21 that it may be time for a legislative rewrite.
In response to a question about whether she...
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In Segment III of the 14th Series of the NTSA WOWcasts, NTSA Past President Randy Aranowitz interviews 2016 Elite Advisor and NTSA Past President Adam Pearce, CFP®, CRES CERTIFIED FINANCIAL PLANNER™, who is part of Lincoln Investment’s Phoenix AZ office. They discuss community service and what the...
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NTSA is always providing information and insights that will be valuable to its members! Following is information about NTSA webcasts.
Upcoming Webcast
NTSA Webcast: Pandemic Pandemonium—Navigating the new COVID-19 Retirement Plan Rules
Thursday, July 30, 2020
2:00 – 2:50 p.m. ET
...
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On May 21, the Department of Labor (DOL) finalized a new safe harbor for electronic disclosures. A July 9 Plan Sponsor Council of America (PSCA) webcast discussed the new safe harbor, the scope of the rules and what it all means.
Panelists in “The New Electronic Disclosure Rule Is Here!” included...
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Legislation has been introduced in the New Jersey state legislature that would impose a tax on financial transactions—including those in your 401(k)—to fix the state’s widening budget gap.
Unlike other financial transaction tax (FTT) proposals, however, this bill takes a slightly different...
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In MarketBeat, Robert Toth discusses the challenges entailed in providing loans and distributions under the CARES Act, and how fiduciary rules figure in meeting them.
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Tech Talk addresses the effect excess contributions have.
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Many plan sponsors seek the assistance of TPAs with the functions and responsibilities associated with running a retirement plan, but that does not absolve a plan sponsor from all responsibility. A recent blog entry argues that internal controls are key to fulfilling the duties plan sponsors can’t...
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In Segment I of the 14th Series of the NTSA WOWcasts, NTSA Past President Randy Aranowitz interviews Adam Pearce, CFP®, CRES CERTIFIED FINANCIAL PLANNER™, who is a 2016 Elite Advisor and NTSA Past President. Pearce is part of Lincoln Investment’s Phoenix AZ office and provides an overview of his...
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Legislation has been reintroduced to create a national, online “lost and found” database to help plan participants keep track of their retirement accounts as they move from job to job.
The Retirement Savings Lost and Found Act sponsored by Sens. Elizabeth Warren (D-MA) and Steve Daines (R-MT)...
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Much has been said and written about retirement readiness, and auto features—enrollment and escalation—are widely considered a way to improve it. A recent study has added to the statistics that bolster that view.
Auto features can improve retirement readiness by more than 15 percentage points,...
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The COVID-19 market volatility and complex new rules have created a need for increased advice from retirement plan providers, but a new study suggests that few are successfully addressing this growing need.
What’s more, with record job losses since the onset of COVID-19, much of the money...
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The Labor Department has finally unveiled its much anticipated fiduciary rule, though it’s a mixed bag and has a certain “back to the future” feel, along with some new implications for recordkeepers, Pooled Employer Plans and rollover advice.
Titled “Improving Investment Advice for Workers...
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In Part III of the 13th Series of the NTSA WOWcasts, NTSA Past President Randy Aranowitz interviews 2015 Elite Advisor Kathy Cawley, President of the Voyager Group, Ltd. They discuss Cawley’s efforts to help clients generate income and her involvement in a Directors’ Circle, as well as what the...
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In Part II of the 13th Series of the NTSA WOWcasts, NTSA Past President Randy Aranowitz interviews 2015 Elite Advisor Kathy Cawley, President of the Voyager Group, Ltd. They discuss Cawley’s business model operations, tax service and self-publishing.
In Part I, NTSA Past President Randy Aranowitz...
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Plan administration can be overwhelming to an employer. There are many moving parts to the day-to-day administration of a 403(b) plan. Here are some basic rules to follow:
Follow the terms of the plan. Employers must operate their 403(b) plans according to their written programs or the plans...
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An annual fee study evaluating trends in the cost of U.S. open-end mutual funds and exchange-traded funds (ETFs) finds that the asset-weighted average expense ratio dropped to 0.45% in 2019.
Morningstar’s 2019 U.S. Fund Fee Study released June 8 found that the asset-weighted average expense...
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In a June 10 NTSA Webcast, “A Tech-Driven Approach to Advice,” Tom Lakatos, VP—Branch Development, Lincoln Investment, discussed how to integrate technology into a practice in such a way that increasing efficiency does not come at the expense of effectiveness.
Setting the Table
“There’s a...
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In the midst of historic market volatility, a new survey of retirement plan sponsors and retirement plan advisors reveals gaps in focus—and perception—about the role of fixed income investments in a fully diversified 401(k) menu.
The new survey—sponsored by Janus Henderson Investors, conducted...
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The New York Regional Office of the Employee Benefit Security Administration is said to be seeking a long list of information from plans with ESG funds—about the selection and review process for those options.
[UPDATED JUNE 17, ADDING A LINK TO THE LETTER]
In recent weeks, there have been reports...
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