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.
The DOL fiduciary rule's future remains murky
By Melanie WaddellAssistant Secretary of Labor Phyllis Borzi refuses to concede that the fiduciary rule faces certain death as a Republication senator tells her agency to halt implementation.
November 30, 2016
4 DOL fiduciary rule compliance considerationsAs firms transform their businesses to comply with the DOL fiduciary rule, challenges will be centered in four areas.
November 30, 2016
A Trump Repeal of the DOL Fiduciary Rule? Not So FastAdvisors and broker-dealers on a Nasdaq-sponsored panel recommend that advisors not count on a repeal of the rule anytime soon.
November 29, 2016
In DOL/Post-DOL Fiduciary World, RIAs Need to Re-DifferentiateHow RIAs should respond to what's likely to be a new wave of deregulation.
November 29, 2016
Financial Advisors Voted Overwhelmingly for Trump: FSI PollFinancial advisors favored Trump over Clinton by a ratio of more than 3 to 1, according to a post-election poll from FSI.
November 29, 2016
Kevin Knull’s 6 Parts of a DOL-Friendly Financial PlanKevin Knull, president of PIEtech, creators of MoneyGuidePro, tells ThinkAdvisor what advisors must know about their clients in order to work in their best interest.
November 28, 2016
Kansas Judge Upholds DOL Fiduciary RuleIn the rule's second legal victory, a Kansas federal judge rejected insurer Market Synergy's request to block it.
November 23, 2016
DOL Fiduciary Rule Infringes on Advisors’ Freedom of Speech, Lawsuit ClaimsU.S. District judge in Texas hears a First Amendment argument against the Labor Dept.s fiduciary rule under ERISA.