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.
10 ways to prepare for the fiduciary rule
By Pete WelshThe risks of committing a prohibited transaction could be significant, and may include litigation, audits from the DOL and Internal Revenue Service, as well as associated penalties and fines.
December 06, 2016
Joel Bruckenstein: DOL Rule Is Coming; Time for a Tech UpdateThe advisor tech guru talks to ThinkAdvisor about what the DOL rule means for advisors, technologically speaking.
December 06, 2016
Compliance expert answers 7 looming fiduciary rule questionsEY's Ben Yahr talks about what to expect with the DOL's April 2017 deadline on the horizon.
December 06, 2016
Compliance expert answers 7 looming fiduciary rule questionsEY's Ben Yahr talks about what to expect with the DOL's April 2017 deadline on the horizon.
December 05, 2016
Fee Compression, Compliance Are Top Concerns for Advisors: SEI SurveyOnly 11% of the advisors surveyed are ready for the implementation of the DOL fiduciary rule in 2017.
December 05, 2016
The DOL fiduciary rule's future remains murkyAssistant Secretary of Labor Phyllis Borzi refuses to concede that the fiduciary rule faces certain death as a Republication senator tells her agency to halt implementation.
December 05, 2016
The DOL fiduciary rule's future remains murkyAssistant Secretary of Labor Phyllis Borzi refuses to concede that the fiduciary rule faces certain death as a Republication senator tells her agency to halt implementation.
December 01, 2016
DOL's Borzi: Rule or No Rule, There's No Going Back on Fiduciary"Im not going to conclude that this rule is going away" under the Trump administration, Borzi said at a Consumer Federation of America conference.