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States are increasingly wading into the fight to combat elder financial abuse, the top state securities regulator said Thursday.  [1/19/2018]
A growing number of companies plan to use some of the savings they expect to realize from the tax overhaul to boost their contributions to employees' 401(k)s.  [1/19/2018]
Employers are moving to reduce their defined-contribution (DC) plan costs in greater numbers, largely in an attempt to avoid the fate of peers who've been sued for allegedly excessive fees in their defined-contribution plans, new research by Callan suggests.  [1/19/2018]
The SEC on Thursday all but shut the door to approving exchange-traded funds that hold cryptocurrencies, questioning whether the products could comply with rules meant to protect retail investors.  [1/19/2018]
Several finance and insurance companies have led the charge in increasing their matching contributions to workers’ 401(k) plans in response to the new tax law, and their early responses might just be the beginning.  [1/17/2018]
The investment advisor to New York University's retirement plan has been named as a co-defendant in litigation over alleged excessive fees. Plaintiffs contend the advisor provided "imprudent investment advice," which enabled NYU to breach its fiduciary duty to plan participants, according to an amended complaint filed in the lawsuit Sacerdote et al v. New York University.  [1/17/2018]
The Investment Company Institute (ICI) is lobbying to preserve money market fund regulations enacted in 2014, as the House Financial Services Committee prepares to vote on bipartisan legislation that would roll back the regulations.  [1/17/2018]
Holding mutual funds feet to the fire when it comes to excessive fees could get a good deal more difficult if legislation is approved by the House Financial Services Committee this week making it tougher for consumers to sue, the Consumer Federation of America (CFA) said in a letter sent to lawmakers this week  [1/17/2018]
The Investment Company Institute (ICI) is lobbying to preserve money market fund regulations enacted in 2014, as the House Financial Services Committee prepares to vote on bipartisan legislation that would roll back the regulations.  [1/17/2018]
Mick Mulvaney, the acting director of the Consumer Financial Protection Bureau, said Wednesday that he is launching a review of all the federal consumer watchdog agency's policies and priorities.  [1/17/2018]
The U.S. Supreme Court on Friday agreed to hear a challenge to the SEC's use of in-house judges to enforce investor protection laws.  [1/16/2018]
Fiduciary advocates are urging the SEC to prohibit brokers from calling themselves "financial advisors," as the agency considers a fiduciary standard  [1/16/2018]
The prospect of a strong economy in the United States and a strengthening one in much of the rest of the world is good news for workers and for many companies.  [1/16/2018]
Several finance and insurance companies have led the charge in increasing their matching contributions to workers’ 401(k) plans in response to the new tax law, and their early responses might just be the beginning.  [1/16/2018]
Lawmakers from both parties have introduced bills that for the first time would allow employers to offer annuities in retirement plans and greenlight the electronic delivery of employee retirement statements. Reps.  [1/16/2018]
Holding mutual funds feet to the fire when it comes to excessive fees could get a good deal more difficult if legislation is approved by the House Financial Services Committee this week making it tougher for consumers to sue, the Consumer Federation of America (CFA) said in a letter sent to lawmakers this week.  [1/16/2018]
The investment advisor to New York University's retirement plan has been named as a co-defendant in litigation over alleged excessive fees.  [1/16/2018]
The U.S. Supreme Court on Friday agreed to hear a challenge to the SEC's use of in-house judges to enforce investor protection laws.  [1/13/2018]
The SEC's Fixed Income Market Structure Advisory Committee kicked off its first meeting Thursday, an initial step aimed at giving the SEC a better understanding of a the growing bond markets' importance to many retail investors, but munis were hardly mentioned.  [1/12/2018]
New Jersey state lawmakers introduced legislation this week that would require financial advisors to disclose their fiduciary status to investors.  [1/12/2018]
Additional Resources

State Measures to Prevent Elder Financial Abuse Gaining Steam
With Tax Savings, Some Employers Will Boost 401(k) Contributions
Lawsuits Push 401(k) Plan Sponsors to Cut Fees
SEC Pours Cold Water on Prospect of Bitcoin ETFs
Finance Sector Thinking Long Term With 401(k) Boosts
In Rare Move, Investment Advisor Named as Defendant in NYU Retirement Plan Case
Investment Companies Fight Effort to Undo Fund Rules
CFA Urges 'No' Vote on Limiting Investor Right to Sue Funds over High Fees
U.S. Supreme Court Takes Up Challenge to SEC In-House
Fiduciary Groups Urge SEC to Prevent Brokers from Using 'Advisor' Title
For Bond Investors, Low Expectations in a Low-Yield World
Munis Received Short Shrift at First SEC Fixed-Income Committee Meeting
Bill Requiring Fiduciary Disclosure Reintroduced in New Jersey
House GOP Guns for DOL Fiduciary Rule
Fiduciary Rule Poised for Second Life Under Trump Administration
Bill Would Clear Way for More Annuities in Retirement Plans
Tax Reform Prompts Visa to Raise 401(k) Match for Employees
FINRA Releases Exam Priorities for 2018
Use of Bank-Owned Life Insurance Grows
Downside of Automatic 401(k) Savings: More Debt
As Dow Tops 25,000, Individual Investors Sit It Out
New York Floats Best Interest Standards for Insurers
House Bill Seeks Retirement Plan "Simplification and Enhancement"
Orrin Hatch Announces He Will Retire from the Senate
Workers Regret Not Saving More for Retirement: Study
Who Are the Big Players in the Bond Market? Small Investors
What to Watch on the Fiduciary Front in 2018
Assets in Fiduciary Accounts Grow to 42 Percent of Total
Insurers Want More of Your Money to Manage
Labor Department Grants Banks Multiyear Waivers to Manage Retirement Plans
State Retirement Savings Program Opens to Small Businesses Across Oregon
Investors Diving into Risky Bank Bonds
New DOL, SEC Officials Help Advance Fiduciary Rule Work
Fiduciary Rule May Take on SEC Influence
Senate Confirms SEC Nominees
Fee-Based Annuities Bright Spot in Disappointing 2017
Move from Active to Passive Funds Slows in November
Regulators See Cybersecurity as Top Financial Industry Risk
Small Investors Rejoice After Lawmakers Cut Controversial Tax Provision
401(k) Tax Changes Would Slash Retirement Savings: Wells Fargo Survey
Representatives Introduce Electronic Disclosure Bill for Retirement Plan Information
IRI Finds 15 Percent Drop in Q3 Annuity Sales
Industry Opponents Urge Appeals Court to Rule on DOL Fiduciary Rule
Lawmakers Introduce Bill to Clarify Rules on Lifetime Income Products in DC Plans
Over $600 Billion Has Flown into ETFs in 2017
Investors Can't Buy Munis Fast Enough
U.S. Investors Overweight in Stocks Despite Market Fears: Study
Stock Market ETFs are Attracting a Record-Setting Level of Investor Cash
Americans’ Nest Eggs Have Never Been Bigger
One Potential Winner from Tax Overhaul: Corporate Bonds
Why More Advisors Are Offering Financial Planning Services
Despite Delays, DOL Rule Becoming Law of the Land, Expert Argues
Risks Lurk in DOL Rule Exemption for "Clean Shares"
SIFMA, Others to Regulators: No New Cybersecurity Rules Needed
Fiduciary Focus Spurs Advisors to Home In on Lowest-Cost ETFs, Survey Finds
Senate Republicans Pass Sweeping Tax Bill
Banks Build Line of Defense for Major Cyberattack
U.S. Treasury's Phillips Calls Fiduciary Rule 'Regulation Looking for a Problem'
Day after DOL Delay, SEC's Jay Clayton Calls Fiduciary Rule a Priority
Advisor Proposes Tax Credit For Deferred Income Annuities
Delay of DOL Fiduciary Rule Enforcement Mechanisms Now Final
Can the SEC and DOL Really Harmonize Advice Standards for Brokers and Advisors?
CFPB Official Sues Trump Administration Over Agency Leadership
A Tax Provision That Would Exempt Mutual-Fund Firms but Not Individuals
Labor Secretary Mum on Specifics Of DOL Rule Review
Senate Tax Cut Bill No Longer Taxes 401(k) Catch-Up Contributions
401(k) Plans Remain Untouched in Tax Bill Passed by House
House Passes GOP Bill to Overhaul Tax System
The New Tax on Stock Investors Hidden in the Senate Tax Plan
Banks Closer to Winning Regulatory Relief After Senate Deal
Senate Tax Bill: What's in It for Financial Services
Tax Reform: What Advisors Need to Know About the Senate Bill
SEC Says Companies Can Expect New Guidelines on Reporting Cybersecurity Breaches
House Ways and Means Approves Tax Reform Package
Wells Fargo Launches Robo-Advisor to Target New Investors
'Rothification' of 401(k) Plans Likely in Senate Tax Plan
Regulation Can't Solve Cyber Security Problems, Fed Official Says
Fed's Dudley Warns Against Overly Aggressive Regulation Rollback
DOL Rule Delay Will Likely Be Final in Three Weeks: Acosta
Follow BISA on Twitter & LinkedIn for Industry Updates
Space Available for Friday’s Depository Peer Group Discussion
Share Your Hurricane Harvey Support Story with BISA
Recognize Your Colleagues: Now Accepting Award Nominations
Another Dodd-Frank Delay?
FSR Applauds Senate Confirmation of Labor Secretary Acosta
Trump Suspends Dodd-Frank Provisions

Portfolio Weekly for January, 25 2018
Portfolio Weekly for January, 11 2018
Portfolio Weekly for January, 11 2018
Portfolio Weekly for January, 4 2018
Portfolio Weekly for January, 4 2018


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