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 WaddellMulvaney told Commonwealth reps to tell senators that we will no longer be able to serve middle-class people who need us the most.
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.
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.
October 30, 2015
Lawmakers Want Yet Another Comment Period on DOL Fiduciary RuleMeanwhile, investor advocacy group Better Markets warns DOL not to get stuck in an infinite feedback loop of public comments.
October 27, 2015
Why the 'f' in fiduciary mattersThe government and the financial services industry may not be as misaligned as we think.
October 27, 2015
DOL wins 2 consent judgmentsThe Department of Labor has emerged victorious in 2 complaints filed against plan sponsors on behalf of participants.