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Suppose you’re a young advisor looking for any way to build my business — or a not-so-young advisor who wants to do the same thing. In MarketBeat, George Webber argues that seminar presentations are a great way to market your services and offers tips for using them.
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The plaintiffs in a 403(b) university plan excessive fee lawsuit have been allowed to add another claim to that suit: that fiduciaries failed to protect plan assets by allowing third parties to market services to participants.
Federal Magistrate Judge Joe Brown of the U.S. District Court for the...
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A non-profit entity has a 401(k) plan and qualifies to sponsor a 403(b) plan. In Tech Talk, Susan Diehl tells us if it may do so under a set of specific circumstances.
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Another one of the initial 403(b) university plan excessive fee suits has had its day in court.The suit, filed against Northwestern University in 2016 by the law firm of Schlichter Bogard & Denton, had argued that Northwestern in 2016 “eliminated hundreds of mutual funds provided to Plan...
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Editor’s Note: ERISA Tips is a feature provided with you in mind — to make the newsletter more useful to you! If you have any content for ERISA Tips or the 403(b) Advisor that you would like to contribute or suggest, please contact John Iekel, editor of the 403(b) Advisor, at jiekel@usaretirement....
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The IRS has announced that it has updated its Issue Snapshot, an online publication, concerning qualification requirements for non-electing church plans under Code Section 401(a).The Issue Snapshot notes that such a plan must satisfy certain IRC requirements that were in place before the Sept. 1,...
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FPS Group, LLC has become the newest NTSA Strategic Partner, joining the other premier 403(b) and 457 plan broker dealers, RIAs, TPAs, agencies and mutual fund and annuity companies that comprise that group.
FPS Group makes custody and safekeeping, recordkeeping, tax reporting, income collection,...
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Editor’s Note: ERISA Tips is a feature provided with you in mind — to make the newsletter more useful to you! If you have any content for ERISA Tips or the 403(b) Advisor that you would like to contribute or suggest, please contact John Iekel, editor of the 403(b) Advisor, at jiekel@usaretirement....
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State of the State Houses is an occasional feature that provides the status of legislation before state legislatures relevant to NTSA members.Open Provider AccessOklahoma. Companion bills OK HB 1339 and SB 1056 would modify the Oklahoma Teachers’ Retirement System by authorizing the system to...
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Roughly a year to the day after first filing suit, plaintiffs and the University of Chicago have entered into a class action settlement for a $6.5 million cash payment and changes to the university’s $3 billion plan.
The comes several months after a federal judge reinstated claims he had...
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An upcoming NTSA webcast will take a closer look at business succession for advisers who are considering retiring.
Thursday, May 31, 2018
2:00-2:50 p.m. ET
Speaker: Ron Culverson, First VP, Sales; and Kevin Twohy, Regional First VP, Partner Development, PlanMember Securities
Do you have a...
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There has been increasing interest in the market to put together Multiple Employer Plans for 403(b) plans, and with good reasons. In MarketBeat, Robert Toth writes that tax-exempt entities are really well-suited to the sorts of economies of scale that a MEP can bring, but a 403(b) MEP is “really...
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Editor’s Note: ERISA Tips is a feature provided with you in mind — to make the newsletter more useful to you! If you have any content for ERISA Tips or the 403(b) Advisor that you would like to contribute or suggest, please contact John Iekel, editor of the 403(b) Advisor, at jiekel@usaretirement....
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A state’s law requires governmental 457 plans to obtain a private letter ruling (PLR) from the IRS or have a document that relies upon one. In Tech Talk, Susan Diehl tell us how one can obtain such a document.
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A continuing confusion regarding how Internal Revenue Code Section 401(a) rules apply to 403(b) plans involves the reporting rules related to the correction and reporting on the Form 5500 of one of the most common errors in any elective deferral plan: the late deposit of those deferrals into the...
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If a plan is drafted retroactive to Jan. 1, 2010, but with the current plan provisions reflected in the adoption agreement, what is the best practice for completing the Special Effective Dates Addendum/Appendix? In Tech Talk, Susan Diehl gives us some ideas.
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Editor’s Note: ERISA Tips is a feature provided with you in mind — to make the newsletter more useful to you! If you have any content for ERISA Tips or the 403(b) Advisor that you would like to contribute or suggest, please contact John Iekel, editor of the 403(b) Advisor,at jiekel@usaretirement....
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Editor’s Note: ERISA Tips is a feature provided with you in mind — to make the newsletter more useful to you! If you have any content for ERISA Tips or the 403(b) Advisor that you would like to contribute or suggest, please contact John Iekel, editor of the 403(b) Advisor, at jiekel@usaretirement....
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In MarketBeat, Bill Fisher, Chairman of the NTSA Professional Education Committee sat down with Jerry Miletics of AXA Advisors, LLC to talk about advocacy and practice development. The result illustrates how they are connected, and how it really is all about relationships.
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The Wisconsin Association of Independent Colleges and Universities (WAICU) has partnered with Transamerica to create a 403(b) multiple employer plan (MEP).
The WAICU is comprised of 24 independent colleges and universities. According to a Transamerica press release, the new MEP could have more...
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