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November 26, 2012
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Financial and wealth management news for the retirement community

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Quarterly Small Business Leadership Report
Three industry heavy weights dish up the facts on what you need to know about the future of collaboration, increasing productivity and readying the office for the millennial workforce. Read the guide.
  Industry Update 
  • Editorial: U.S. doesn't need Harkin's retirement plan
    A proposal from Sen. Tom Harkin, R-Iowa, to establish pooled private retirement plans is not the right approach to increasing retirement security, this editorial argues. Employers cannot handle a new pension-style obligation, and Harkin should instead work to protect the tax incentives that 401(k) savers now enjoy, ease the burdens on pension-plan sponsors and raise contribution limits for existing defined-contribution plans, the editorial argues. Pensions & Investments (free registration) (11/26) LinkedInFacebookTwitterEmail this Story
  • FINRA again pursues regulation of financial advisers
    The Financial Industry Regulatory Authority has kicked off another campaign to take over supervision of financial advisers from the Securities and Exchange Commission. Thomas Selman, FINRA's executive vice president of regulatory policy, argued at a recent industry conference that the organization is the best one to regulate advisers. Reuters (11/21) LinkedInFacebookTwitterEmail this Story
  • Industry launches "Save My 401(k)" effort
    The American Society of Pension Professionals and Actuaries has launched a media campaign urging the protection of tax incentives for 401(k) savings. The "Save My 401(k)" campaign is a response to worries that President Barack Obama and Congress might eliminate the tax-deferred status of 401(k) contributions as part of a deficit-reduction plan. Reuters (11/26) LinkedInFacebookTwitterEmail this Story
  • Other News
  Financial Literacy 
  On the Economy 
  Building Your Practice 
  • How to help build a retirement-plan practice
    Financial advisers who want to build a retirement-plan practice would do well to follow three basic prospecting steps, Ric Lager writes. He recommends beginning with a list of prospects from professional firms and Fortune 500 companies that will lend themselves to a word-of-mouth approach. The next step is to become an expert on plan offerings by gathering the company retirement-plan menus of key clients, he writes. Finally, he suggests developing a list of clients' friends and other contacts. AdvisorOne (11/21) LinkedInFacebookTwitterEmail this Story
  Financial Products 
The most exhausting thing in life is being insincere."
--Anne Morrow Lindbergh,
American author and aviator

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