Department of Labor

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  Alicia Munnell: Ban Actively Managed Funds From 401(k)s, IRAs

  By John Sullivan, AdvisorOne  |  March 14, 2013

  Why is it that every current wirehouse advisor says they’re completely open-architecture, while every former wirehouse advisor says they faced pressure to sell proprietary products?

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  ESOPs: Great Tax-Wise for Business Owners, but Beware the DOL

  By Robert Bloink, Esq., LL.M., William H. Byrnes, Esq.  |  March 13, 2013

  Your small-business-owning clients may be looking for ways to reduce or defer the taxes they will incur should they sell their business. An ESOP strategy can work well, but be wary of DOL inquiries.

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  Fred Reish Explains Fee Disclosure at 401(k) Summit

  By Danielle Andrus, AdvisorOne  |  March 6, 2013

  Fred Reish of Drinker Biddle & Reath and Samuel Brandwein of Morgan Stanley took on advisors’ new responsibilities after fee disclosure at the NAPA/ASPPA 401(k) Summit.

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  DOL, SEC, FINRA Enforcement Roundup: DOL Recovers $43 Million for Madoff Victims

  By Marlene Y. Satter, AdvisorOne  |  February 28, 2013

  Among other recent enforcement actions were SEC charges against two Connecticut-based hedge fund managers and their firms for fraud.

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  3 Issues That Will Dominate DOL Fiduciary Debate

  By Melanie Waddell, AdvisorOne  |  February 28, 2013

  Pay close attention to three areas of the DOL’s reproposed fiduciary rule once it’s released in July, says Brad Campbell, former head of EBSA.

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  401(k) Plan Costs Fell in 2012

  By Danielle Andrus, AdvisorOne  |  February 27, 2013

  Total plan costs for retirement plans have fallen in the last year, according to the 13th edition of the 401k Averages Book.

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  As Fiduciary Debate Returns, Advisors Share Attitudes and Practices

  By James J. Green, AdvisorOne  |  February 26, 2013

  As the SEC and DOL work to finalize their fiduciary standards, AdvisorOne and fi360 field their third annual advisor fiduciary survey to determine real-world advisor opinions and actions.

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  Top 25 Finance Company 401(k) Plans: BrightScope

  By Joyce Hanson, AdvisorOne  |  February 26, 2013

  To judge by the 401(k) plans that finance companies offer their employees, they’re doing a good job of doing unto themselves as they would have others do.

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  Top 5 Retirement Issues

  By Editorial Staff  |  February 25, 2013

  Investment Advisor talked to several of the main players on the retirement stage to get their thoughts on the big challenges of modern retirement.

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  Continuity and Change: TD Ameritrade’s New Leadership

  By James J. Green, AdvisorOne  |  February 25, 2013

  Tom Nally had a tough act to follow at TDAI, but a year after assuming the presidency, his leadership both embraces continuity and places his own stamp on the organization.