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.
Will DOL Fiduciary Rule Drive RIAs to — or From — BDs?
By Danielle Andrus, James J. GreenBroker-dealers have an opportunity to ease RIAs compliance burden brought by the DOL fiduciary rule, the 2016 Broker-Dealers of the Year say.
August 30, 2016
A DOL fiduciary rule compliance checklistHeres a pithy, practical, six-point checklist to help advisors of all stripes comply with the DOL rule.
August 29, 2016
NAFA: Insurers to ‘have their butts sued off’ under DOL fiduciary ruleNAFA lawyers told a U.S. District judge Thursday that individual insurance agents would be forced to become registered investment advisors under the Department of Labors fiduciary rule.
August 29, 2016
NAFA: Insurers to ‘have their butts sued off’ under DOL fiduciary ruleNAFA lawyers told a U.S. District judge Thursday that individual insurance agents would be forced to become registered investment advisors under the Department of Labors fiduciary rule.
August 26, 2016
Insurers to ‘Have Their Butts Sued Off’ Under DOL Fiduciary Rule: NAFA LawyerIn the first hearing in a series of lawsuits, NAFA argues the DOL fiduciary rule embodies overreach to do things Congress never intended.
August 26, 2016
What Advisors May Not Know About the DOL Fiduciary RulePension law attorney Marcia Wagner lays out not just the basics of the rule but some details that may surprise you.
August 26, 2016
IMOs can anticipate hurdles ahead under the DOL ruleOne chief concern among industry stakeholders is that the DOL has outsourced enforcement of the fiduciary rule to the class action bar.
August 26, 2016
IMOs can anticipate hurdles ahead under the DOL ruleOne chief concern among industry stakeholders is that the DOL has outsourced enforcement of the fiduciary rule to the class action bar.