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.
Planners Fear Unintended Consequences as DOL Rule Compliance Date Nears
By Melanie WaddellMeanwhile, ERISA attorney Fred Reish worries that small firms aren't ready to comply with the DOL fiduciary rule.
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.
May 26, 2017
DOL Fiduciary Deadline Is Coming. Here’s a Compliance ChecklistCompliance firms and attorneys are busy giving advisors, BDs and plan sponsors a to-do list as the June 9 compliance date nears.
May 25, 2017
The Fixed-Index Annuity Industry Won Battles Only To Lose the WarA financial consultant looks at the ties that bind you.
May 23, 2017
Sticking to DOL Fiduciary Deadline Is ‘Right Move,’ Says fi360’s AikinOpponents, meanwhile, were disappointed by Acosta's decision; "dramatic and fundamental changes are appropriate and necessary," says SIFMA's Bentsen.