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.
Advisors Must Act in Customers' Best Interest: DOL Secretary
By Allison BellAlex Acosta said EBSA will go after retirement advisors in material breach of the standards.
October 25, 2017
Watchdog Group Sues DOL Over Fiduciary Rule DocumentsThe group, American Oversight, is suing Labor for not responding to its FOIA request to release relevant documents about its fiduciary rule.
October 19, 2017
Thrivent, DOL Anti-Arb Fiduciary Tussle ContinuesLabor argues that there's no need for relief from the anti-arbitration provision because the rule will likely be delayed anyway.
October 16, 2017
Commonwealth CEO Upbeat on DOL Fiduciary, ‘RIA-zation’Wayne Bloom and other execs highlight the growth of the firms indie advisors at a national event in San Diego.
October 11, 2017
Dealing With Rollovers Under the DOL Fiduciary RuleHere's how things could work if the rule comes back to life.
October 08, 2017
Top 3 Ways BDs Can Help FAs With DOL-Related Platform ShiftsBroker-dealers should help advisors with new technology, criteria for picking third-party asset managers and improved planning tools.
October 05, 2017
Brokers Violating DOL Rule by Shifting Clients to Fee Accounts: RoperConsumer Federation of America urges regulators to investigate if firms are found to be exploiting the DOL rule to profit unfairly at their customers expense.
October 02, 2017
The Long-Awaited Fiduciary Rule DelayHurry up and get ready, slow down, stop I am truly hopeful that this will be my last DOL rule column for quite some time.