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.
Worker Classification for Independent Financial Professionals: Big Changes Ahead?
By Mark QuinnThe Labor Department plans to propose new rules on independent contractors that might affect advisors.
July 27, 2022
The New Rollover Rule Is Here: Are You Complying?Financial advisors and their firms must now adhere to these key requirements affecting retirement-plan rollover recommendations.
July 19, 2022
IRA Rollovers Can Have Steep Costs When Done Wrong, New Study ShowsUnder the DOL's new rule, advisors need to consider more than just fees before recommending a rollover.
July 15, 2022
15 Hottest Compliance Topics for Advisors in 2022Here's what's on advisory firms' minds now, according to the Investment Adviser Association.
July 05, 2022
4 Tips to Avoid Rollover Problems Under New DOL RuleHere's how to make your rollover process compliant, according to lawyer Fred Reish and other compliance pros.
June 29, 2022
DOL's Rollover Reckoning Opens Doors for AdvisorsThe new rollover rule taking effect Friday presents a significant opportunity to stand out in the marketplace.
June 28, 2022
Phyllis Borzi: DOL's New Rollover Rules a 'Reasonable Step Forward'The former EBSA chief says next steps should address "the glaring loopholes" in the five-part test for fiduciary status.
June 27, 2022
New DOL Rollover Rules Kick In Friday. Are You Ready?ERISA attorney Fred Reish weighs in on what firms must do to comply with the rules.