News

Mass Affluent Go It Alone

Five years after the financial crisis, Main Street investors remain pessimistic about their finances and don’t feel wealthy enough to require financial advising services.

Budget Puts the Squeeze on Adviser Exams

Without significant changes, the SEC cannot fulfill its mandate for examinations of investment advisers, said Elisse Walter, commissioner of the Securities and Exchange Commission (SEC).

Designing a Better DC Investment Menu

The Defined Contribution Institutional Investment Association (DCIIA) released a white paper that examines how to design investment menus for defined contribution (DC) plans.