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.
‘Full Speed Ahead’ With DOL Fiduciary Compliance Despite Delay
By Melanie WaddellWith the OMB's approval of the Labor Department's 18-month fiduciary rule delay having most assuredly kicked in (approval was anticipated within a week or two at press time in early November), should advisors put the brakes on compliance?
November 15, 2017
DOL Ready to Enforce Fiduciary Rule: AcostaIf firms are willfully violating the best-interest standard, which took effect June 9, Labor will use its enforcement authority, Acosta told lawmakers.
November 02, 2017
DOL Files Official Delay of Fiduciary RuleThe delay should be approved by OMB in a week or two, lawyer Reish says. Barbara Roper doubts the complete rule will ever take effect.
October 25, 2017
Watchdog Group Sues DOL Over Fiduciary Rule DocumentsThe group, American Oversight, is suing Labor for not responding to its FOIA request to release relevant documents about its fiduciary rule.
October 19, 2017
Thrivent, DOL Anti-Arb Fiduciary Tussle ContinuesLabor argues that there's no need for relief from the anti-arbitration provision because the rule will likely be delayed anyway.
October 16, 2017
Commonwealth CEO Upbeat on DOL Fiduciary, ‘RIA-zation’Wayne Bloom and other execs highlight the growth of the firms indie advisors at a national event in San Diego.
October 11, 2017
Dealing With Rollovers Under the DOL Fiduciary RuleHere's how things could work if the rule comes back to life.
October 08, 2017
Top 3 Ways BDs Can Help FAs With DOL-Related Platform ShiftsBroker-dealers should help advisors with new technology, criteria for picking third-party asset managers and improved planning tools.