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.
Fiduciary September 2015: A Historic Time for Fiduciary Advice
By Knut A. RostadReclaim your Advisers Act heritage, urges the Institute for The Fiduciary Standard, and tell your story to investors in the public square.
August 31, 2015
DOL set to issue final fiduciary ruleLabor Secretary Perez says comments from hearings, other feedback will help shape final rule.
August 31, 2015
DOL set to issue final fiduciary ruleLabor Secretary Perez says comments from hearings, other feedback will help shape final rule.
August 28, 2015
DOL, SEC Enforcement: DOL Wins Settlement for WhistleblowersMeanwhile, the SEC charged a former investment bank analyst who worked in JPMorgans San Francisco office with insider trading.
August 19, 2015
How Not to Conduct a Legitimate Study on DOL Fiduciary CostsFSI/Oxford surveyed BD and clearing firm execs to get cost estimates for the DOL proposal, and then ran those predictions by other FSI member BDs.
August 14, 2015
Witness says brokers try to pass themselves off as fiduciariesTestimony details retiree horror stories during hearings on DOL fiduciary rule.
August 14, 2015
Witness says brokers try to pass themselves off as fiduciariesTestimony details retiree horror stories during hearings on DOL fiduciary rule.
August 14, 2015
Why the proposed DOL fiduciary rule could lead to an agent exodusPast MDRT President Phillip Harriman says Washington's zeal for new policies and procedures is making retirement planning more complex and confusing for consumers.