Results for "401(k)"

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Automatic enrollment in small-business plans is working

July 12, 2018

Corroborating behavioral finance insights on saving habits, a survey by Vanguard of 8,900 small-business retirement plans found that those having automatic enrollment enjoyed an 83% participation rate, versus 58% for plans with voluntary enrollment....

Judge dismisses stock-drop suit against Allergan

July 9, 2018

A federal judge has dismissed a complaint by participants in an Allergan defined-contribution plan, rejecting allegations that company and plan executives violated their fiduciary duties by offering company stock in the plan menu. The plaintiffs...

What older people should consider when starting a business

July 3, 2018

Andrew S. Morrison, 62, doesn't see himself playing golf anytime soon. When he left his post as a senior vice president at a health insurance company in 2013, he consulted for a couple of years, but found the work wasn't challenging. So in 2016,...

Investors don't have a clue about using 401(k) savings, Cerulli says

June 29, 2018

A new study from research firm Cerulli Associates finds that most investors who have accumulated a retirement nest egg in a 401(k) plan are "clueless" about how to use the money. When asked what they will do with their accumulated savings, one...

Push to require Roth 401(k) savings over traditional plans may re-emerge

June 26, 2018

Retirement plan advisers who thought Washington had ditched the idea of requiring Roth 401(k) savings instead of traditional 401(k)s should think again. Those who closely follow retirement policy say senior legislators on Capitol Hill are again...

401(k) advisers should heed the legal aspects of outsourcing

June 25, 2018

The outsourcing of retirement plan functions — administrative, investment and others — is a practice that predates the Employee Retirement Income Security Act of 1974. But its prevalence has increased in recent years as a result of increased...

IRA assets will almost double those in 401(k) plans over next five years

June 25, 2018

Assets in individual retirement accounts are likely to grow to almost twice the amount held in 401(k) plans over the next five years, according to an industry analyst. IRA assets are projected to swell to $12.6 trillion by the end of 2022, according...

Lessons 401(k) advisers learned from the DOL fiduciary rule saga

June 21, 2018

Retirement plan advisers, especially specialists, used to complain that their broker-dealers and the public ignored them — or, worse, didn't realize they existed. All that has changed now that retirement has become a key political issue and...

Opaque, outdated 401(k) plan disclosures harming investors, advisers

June 20, 2018

Opaque and outdated 401(k) plan disclosures are harming investors and financial advisers trying to gauge whether rolling money out of a workplace retirement plan is in the client's best interest, Morningstar Inc. argues in a new report. The...

401(k) fund fees continue to fall

June 19, 2018

Fees for equity, hybrid and bond mutual funds held in 401(k) plans continued their long-term decline in 2017, according to a new report published by the Investment Company Institute, a trade group representing fund managers. The average asset-weighted...

Fidelity cuts target-date fund fees

June 15, 2018

Fidelity Investments, which has been cutting prices to compete with low-cost rivals such as Vanguard Group and Charles Schwab Corp., is trimming fees on the target-date index funds it sells to retirement plans and rolling out new offerings that...

DOL fiduciary rule on brink of death as key deadline passes

June 14, 2018

The Department of Labor fiduciary rule is teetering on the brink of death after the Justice Department, which was defending the rule in court, appears to have let a key deadline pass to keep the case alive. On March 15, the 5th Circuit Court...

BlackRock, Wells Fargo reportedly preparing ESG funds for 401(k) plans

June 13, 2018

Doing good and saving for retirement may soon get easier. BlackRock Inc. and Wells Fargo & Co. are developing their first-ever ESG funds for retirement savings plans, seeking to tap into growing demand for ethical investing. Both firms plan...

Labor Department partners with two life insurers on abandoned plans

June 13, 2018

A previous version of this story incorrectly stated that the Labor Department was going to work with the two insurers to find missing retirement plan participants. The Department of Labor will work with Metropolitan Life Insurance Co. and Brighthouse...

SEC rule proposal doesn't include 401(k) sponsors in 'best interest' advice

June 13, 2018

The Securities and Exchange Commission is trying to bridge the gap in investment advice standards for brokers and financial advisers, but the rift remains wide in one particular area: advice to 401(k) plan sponsors. The SEC proposed Regulation...

LPL in talks to sell 401(k) rollover platform to Global Retirement Partners

June 12, 2018

LPL Financial is in talks to sell Worksite Financial Solutions, a platform that helps advisers service 401(k) rollovers, to Global Retirement Partners, the largest retirement-focused advisory firm in LPL's network. LPL, the largest independent...

How advisers can navigate ESG investing in 401(k) plans

June 11, 2018

Despite three attempts in the last four years by the Department of Labor to clarify if, when and how environmental, social and governance (ESG) factors can be used in the investment due-diligence process for retirement plans, advisers are still...

Should 401(k) advisers limit their roster of record keepers?

June 11, 2018

All retirement plan advisers face an important and lingering question: How many record keepers should I work with? There are clear advantages to having a short roster of "preferred" or "approved" record-keeper partners, such as ease, efficiency...

Defined-contribution plan loan and hardship distribution rules eased

June 8, 2018

401(k)s are for retirement, but some clients who are strapped for cash need access now for any number of reasons. Advisers can help by knowing the latest tax rules. Defined-contribution plans can offer loans and hardship distributions. While...

Why 401(k) advisers should heed TPA consolidation

June 6, 2018

Third-party administrators have been in the spotlight following a string of recent acquisitions, and retirement plan advisers should take note. TPAs, which provide administrative services to defined-contribution plans, have been getting more...

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