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.
LPL ‘Baggage’ May Block Search for Buyer: Nomura Securities
By Janet LevauxLPL 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’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.
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.
October 07, 2016
Software pundit: Plan for a total IT overhaul after DOL ruleVUE Software Vice President John Sarich expects that advisor compensation will transition to the billable hourly model used by law firms.
October 07, 2016
Software pundit: Plan for a total IT overhaul after DOL ruleVUE Software Vice President John Sarich expects that advisor compensation will transition to the billable hourly model used by law firms.
October 05, 2016
The DOL: In your face once more with an overtime pay ruleThe insurance and financial services industries may be headed for "a perfect storm."