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.
Broker-dealers on DOL fiduciary rule: Expect advisors to walk
By The LifeHealthPro EditorsThree in four broker-dealers surveyed by LIMRA believe the DOL fiduciary rule will exacerbate the risk of litigation.
September 23, 2016
‘Hit Pause’ on DOL Fiduciary Rule, Insurer’s Lawyers Urge Federal JudgeLawyers representing insurer Market Synergy told a Kansas judge that DOL failed to prove that state-based regulation of fixed-indexed annuities is broken.
September 22, 2016
DOL Fiduciary Rule’s Cost for 9 Investment Advice Players: From IBDs to RIAsA.T. Kearney study sees big asset shifts across formats with IBDs getting walloped.
September 21, 2016
IRI study to examine reasonable compensation under DOL ruleThe survey will seek to determine compensation trends in the market to help advisors adhere to reasonable compensation requirements.
September 21, 2016
IRI study to examine reasonable compensation under DOL ruleThe survey will seek to determine compensation trends in the market to help advisors adhere to reasonable compensation requirements.
September 20, 2016
DOL Fiduciary Rule Causes Pullback on Sale of Annuities, Funds by InsurersState Farm Insurance says it will not accept liability on the future sale of annuities or mutual funds.
September 20, 2016
fi360 Launches DOL Fiduciary Training ProgramFiduciary Essentials for Advisors is divided into five modules covering DOL fiduciary rules and fi360s fiduciary best practices.
September 20, 2016
Self-Directed IRAs: Avoiding DOL Fiduciary Rule LiabilityThe DOL fiduciary rule could increase the use of self-directed IRAs, but the role of the advisor does not end once a client chooses one.