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.
Slim chance to stop DOL fiduciary rule, but brokers must keep fighting: Rep. Mulvaney
By Melanie WaddellThe only hope of reversal is tied to the next administration, the House Financial Services Committee member says.
November 17, 2015
Rep Rallies Small Businesses Behind Alternative to DOL Fiduciary RuleRep. Peter Roskam, R-Ill., told a Chamber of Commerce gathering that the DOL intends to get the private sector out of the retirement space.
November 13, 2015
Slim Chance to Stop DOL Fiduciary Rule, but Brokers Must Keep Fighting: Rep. MulvaneyMulvaney told Commonwealth reps to tell senators that we will no longer be able to serve middle-class people who need us the most.
November 10, 2015
Brokers' Views on DOL Fiduciary Rule Seem to Diverge From Their BDs'Broker-dealer firms generally and overwhelmingly reject the Dept. of Labor's BICE requirement as unworkable." Their reps are not so negative.
November 09, 2015
Bipartisan effort in House proposes DOL rule alternativeBipartisan group of lawmakers issues proposal to replace Department of Labor proposed fiduciary rule.
November 09, 2015
Bipartisan effort in House proposes DOL rule alternativeBipartisan group of lawmakers issues proposal to replace Department of Labor proposed fiduciary rule.
November 06, 2015
SEC, DOL Enforcement: Salsa-Dancing Day Trader, Analyst Charged With Insider TradingMeanwhile, SEC charged three more individuals in a penny stock manipulation case it filed last year.
November 04, 2015
FSI urges advisors to prepare for ‘post-DOL world’The organization spells out what many changes will look like as new fiduciary rules move forward in Washington.