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.
Morningstar Pushes Change in DOL Fiduciary Rule Enforcement
By Bernice NapachThe 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 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.
March 22, 2017
Texas judge denies emergency request to block DOL fiduciary rulePlaintiffs failed to satisfy four factors required to obtain an injunction pending appeal.
March 02, 2017
'As of Today,' April 10 Is DOL Fiduciary Compliance Date: AttorneyAt IAA compliance conference, the DOL fiduciary rule delay, the SEC and the Financial Choice Act take center stage.
March 02, 2017
DOL ‘relief’ would kill small annuity marketers, groups sayNAFA says a stiff minimum size requirement would shut out most IMOs.