DOL
Get the latest news and insights on the Department of Labor's moves around the fiduciary rule, other financial regulations, enforcement actions and more.
Does fiduciary coverage for rollovers lie ahead?
By Melanie WaddellThe GAO said the DOL and IRS should reduce the waiting period to roll over into a 401(k) plan and improve the asset verification process.
March 07, 2013
Why IRA consolidation makes even more senseThis year, the Department of Labor is on a crusade to subject IRA accounts to an ERISA fiduciary standard.
March 07, 2013
Why IRA consolidation makes even more senseThis year, the Department of Labor is on a crusade to subject IRA accounts to an ERISA fiduciary standard.
February 28, 2013
DOL, SEC, FINRA Enforcement Roundup: DOL Recovers $43 Million for Madoff VictimsAmong other recent enforcement actions were SEC charges against two Connecticut-based hedge fund managers and their firms for fraud.
February 28, 2013
3 Issues That Will Dominate DOL Fiduciary DebatePay close attention to three areas of the DOLs reproposed fiduciary rule once its released in July, says Brad Campbell, former head of EBSA.
February 26, 2013
As Fiduciary Debate Returns, Advisors Share Attitudes and PracticesAs 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.
February 21, 2013
DOL Fines Sherwin-Williams $80M for Tax ViolationsThe agreement comes after the departments EBSA investigated whether Sherwin-Williams, seeking to take advantage of tax breaks, improperly managed the plan.
February 04, 2013
DOL Slams ING Life and Annuity With $5.2M FineThe company was fined over its failure to disclose investment gains achieved when it failed to process requested transactions in a timely manner.