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.
Fee-only RIAs still need to monitor fiduciary rule exposures
By Ed McCarthyFee-only registered investment advisors (RIAs) have the path of least resistance under the DOL's new fiduciary rule. But unanswered questions remain.
September 07, 2016
Eye on the future: Futurity First readies advisors for DOL ruleFuturity First CEO Michael Kalen says he's concerned about having enough time to meet the fiduciary rule's April 2017 implementation deadline.
September 06, 2016
Survey: advisors fear consequences of DOL fiduciary ruleAdvisors personal liability concerns are skyrocketing due to the increased volume and scope of internal and external regulations, the Cogent report notes.
September 06, 2016
Survey: advisors fear consequences of DOL fiduciary ruleAdvisors personal liability concerns are skyrocketing due to the increased volume and scope of internal and external regulations, the Cogent report notes.
September 02, 2016
Will DOL fiduciary rule drive RIAs to — or from — BDs?Broker-dealers have an opportunity to ease RIAs compliance burden brought by the DOL fiduciary rule.
September 02, 2016
Will DOL fiduciary rule drive RIAs to — or from — BDs?Broker-dealers have an opportunity to ease RIAs compliance burden brought by the DOL fiduciary rule.
September 01, 2016
Texas judge denies all but 2 briefs in DOL fiduciary hearingFinancial Planning Coalition, American Association for Justice briefs allowed.
September 01, 2016
Texas judge denies all but 2 briefs in DOL fiduciary hearingFinancial Planning Coalition, American Association for Justice briefs allowed.