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.
ESOPs: Great Tax-Wise for Business Owners, but Beware the DOL
By Robert Bloink, William H. ByrnesYour small-business-owning clients may be looking for ways to reduce or defer the taxes they will incur should they sell their business. An ESOP strategy can work well, but be wary of DOL inquiries.
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.
January 29, 2013
Industry girds for DOL fiduciary ruleAgents and brokers continue to fear that the new regulation, if finalized, would eliminate commissions and "price out" many American IRA holders from affordable financial advice.
January 29, 2013
Industry girds for DOL fiduciary ruleAgents and brokers continue to fear that the new regulation, if finalized, would eliminate commissions and "price out" many American IRA holders from affordable financial advice.