Markets Now February 5, 2024

A 401(k) plan is a valuable benefit for your team, but it also comes with ongoing responsibilities for you as a business owner and plan sponsor. Mid year is a practical time to pause and run a structured self-check on the plan, while there’s still time in the calendar year to correct issues and refine processes. 

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Understanding the SEC's regulatory priorities can help you become a more informed investor. This educational infographic highlights the U.S. Securities and Exchange Commission's 2026 examination priorities—including fiduciary duty, fees and expenses, custody of client assets, cybersecurity, and the use of technology and AI—and explains what these areas of focus may mean for your relationship with your financial advisor. While these priorities guide SEC examinations of investment advisers, they also provide valuable insight into the questions investors should ask and the standards they should expect from their advisory firm. Important Information: This material is provided for educational purposes only and should not be considered investment, legal, or tax advice. Registration with the SEC does not imply a certain level of skill or training and does not indicate SEC approval or endorsement. Please consult your financial professional regarding your individual circumstances.

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Stocks rebounded as large-cap technology names reignited optimism around the durability of the AI-driven bull market, helping markets recover from a recent semiconductor-led pullback.

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