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.
RIAs, Don’t Assume You’re Already in Compliance With DOL Fiduciary Rule
By Ric EdelmanYes, the DOL rule applies to you, too, Rick Edelman tells advisors.
June 06, 2017
Planners Fear Unintended Consequences as DOL Rule Compliance Date NearsMeanwhile, ERISA attorney Fred Reish worries that small firms aren't ready to comply with the DOL fiduciary rule.
June 06, 2017
How the Fiduciary Rule Will Squeeze Your ShelfTwo insurance industry veterans say you can get through this.
June 02, 2017
SEC Fiduciary Rule Cannot Replace DOL’s: Financial Planning CoalitionAny work done by the SEC should not stymie or undercut Labors fiduciary rule, the Coalition states.
May 29, 2017
DOL’s (Possible) Loss Could Be Your GainMany advisors are lamenting attempts to dismantle Labors new fiduciary rule. Bob Clark has a different take.
May 29, 2017
Destination Unknown: The 2017 Broker-Dealer Presidents PollDespite the complexity and ambiguity of Labor's fiduciary rule, broker-dealer leaders remain cautiously upbeat.
May 29, 2017
Wirehouses Keep Tweaking Plans, Policies Ahead of DOL DeadlineAfter discussing the possibility that advisors could keep commissions in some retirement accounts, Merrill Lynch has given its roughly 14,500 advisors more details.
May 26, 2017
DOL Looking for Reason to Delay Full Fiduciary Compliance Date: LawyerThe department says it will issue a Request for Information; the findings could give it cover to delay past Jan. 1, lawyer Erin Sweeney says.