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 DOL Fiduciary Rule Compliance Checklist
By John BloodHeres a pithy, practical six-point checklist to help advisors of all stripes comply with the DOL rule.
August 23, 2016
3 IRA Transactions Exempt From DOL Fiduciary Level Fee RuleThere are three recommendations that are fiduciary in nature and automatically result in prohibited transactions under DOL's fiduciary rule, and they all involve IRAs.
August 22, 2016
DOL Rule: Is That All There Is?But make sure, RIAs, you're complying with the DOL's Advisory Opinion 2005-23A when providing rollover recommendations to plan participants.
August 21, 2016
The DOL fiduciary rule is bad news for small businessThe ability of small businesses to recruit, reward and retain talented workers will suffer under new federal regulations limiting their ability of offer retirement plans.
August 19, 2016
How Are Rollovers Treated Under the DOL Fiduciary Rule?IRA rollover advice is often rendered in the context of cross-selling, and cross-selling practices by their nature create potential conflicts of interest.
August 18, 2016
DOL Fiduciary Rule Hits BDs’ IT Budgets, Product LinesBroker-dealers have to make a lot of very difficult, and in some cases expensive, decisions, ERISA lawyer Fred Reish says.
August 18, 2016
DOL roundtable: Views from industry veteransRepresentatives from all sides of the insurance industry recently discussed the implications of the DOL fiduciary rule.
August 18, 2016
DOL roundtable: Views from industry veteransRepresentatives from all sides of the insurance industry recently discussed the implications of the DOL fiduciary rule.