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.
A System of Engagement to Navigate the DoL Fiduciary Rule
By SalesforceLearn how Salesforce Financial Services Cloud can help advisors address the challenges associated with the Department of Labor's Fiduciary Rule.
October 13, 2016
Analyst: Brace yourself for a BIG, post-DOL rule revenue dipA new report makes a jaw-dropping forecast: a precipitous, $20 billion dip in industry revenue resulting from the pending phase-in of the Department of Labors fiduciary rule.
October 12, 2016
LPL ‘Baggage’ May Block Search for Buyer: Nomura SecuritiesLPL is reportedly looking at a potential sale or other financial arrangements, but analysts say finding a buyer could be a problem.
October 12, 2016
DOL fiduciary rule forces Merrill to drop commission IRAsThe firm explains its strategy for using the BIC exemption after April 2017 when the DOL's fiduciary rule takes effect.
October 12, 2016
DOL fiduciary rule forces Merrill to drop commission IRAsThe firm explains its strategy for using the BIC exemption after April 2017 when the DOL's fiduciary rule takes effect.
October 12, 2016
DOL’s Fiduciary Rule Fuels Tech Trends at ConferencesKey themes at the many industry events this fall included new document management systems to comply with the DOLs new best interest rule.
October 11, 2016
Thrivent Fires Latest Salvo at DOL Fiduciary RuleDespite the impending litigation, the responsible business decision [is to] not slow down efforts to comply with DOLs rule, says an attorney.
October 11, 2016
What happens to incentive trips under the DOL fiduciary rule?Whether or not incentive trips will continue under the DOL fiduciary rule likely comes down to a companys risk appetite.