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.
DOL rule basics: An 8-step compliance guide [infographic]
By Warren S. HerschWith just 5 months to go before the fiduciary rule kicks in, advisors will need to familiarize themselves with steps of the process needed to be DOL-compliant.
November 04, 2016
Commonwealth CEO: ‘Unlimited Liability’ Led to Dropping Commission ProductsCEO Wayne Bloom lays out the IBDs response to the DOLs fiduciary stew, including maintaining payouts.
November 03, 2016
DOL Rule, Election Weigh on Financial Advisors: Fidelity SurveyBesides political and regulatory developments, advisors surveyed were also increasingly focused on interest rates.
October 28, 2016
DOL releases first fiduciary rule FAQsThis round of FAQs answers 34 questions on new exemptions and amendments to existing exemptions.
October 27, 2016
SEI, Redtail Launch DOL Fiduciary Action PlanSEI and Redtail are the latest example of firms joining forces to help advisors manage their new compliance burdens.
October 27, 2016
Most Advisors Confused on DOL Rule’s Impact: Galvin PollA majority incorrectly believes that, despite their work with retirement accounts, the new fiduciary standard wont impact them.
October 27, 2016
DOL Releases FAQs on Fiduciary RuleFirst round of FAQs answers 34 questions on new exemptions and amendments to existing exemptions.
October 26, 2016
Calling all digital fiduciaries! Here’s your 7-point checklistTo remain within the spirit of the DOL rule, plan fiduciaries should ensure that websites and planning tools are designed to optimize retirement outcomes.