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.
Raymond James’ National Event to Highlight DOL Fiduciary, Politics & Markets
By Janet LevauxThe yearly conference for its independent advisors takes place this week in Orlando.
April 13, 2017
Morningstar Pushes Change in DOL Fiduciary Rule EnforcementThe fund rating agency suggests a third-party audit of firms big data to check if individual portfolios are providing a best interest standard of advice.
April 13, 2017
What to Do When the DOL Comes KnockingThe auditors could come after health plans, retirement plans, or all plans.
April 12, 2017
JPMorgan Delays Moving Wealth Clients Amid DOL LimboWith uncertainty surrounding the DOL fiduciary rule, the bank says that its customers can keep using financial advisors.
April 10, 2017
Insurance Regulators May Update Annuity Sales Model Amid DOL Fiduciary Rule UncertaintyA New York state official says the NAIC should fill in any DOL fiduciary rule holes.
April 03, 2017
DOL Delay Leads to Some Regrouping at BDsMerrill Lynch recently told its Thundering Herd that it plans to explore options for at least some clients who might benefit from commissions in retirement accounts.
March 28, 2017
IRS Issues Excise Tax Relief Related to DOL Fiduciary RuleThe guidance syncs IRS enforcement of excise tax rules on prohibited transactions with DOL's temporary enforcement policy.
March 23, 2017
Being a Fiduciary Is More Than Offering the Lowest Cost SolutionSEI's John Frownfelter warns that overly cost-focused advisors are overlooking valuable asset classes and that passive investing may be a bubble about to burst.