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.
Survey: advisors fear consequences of DOL fiduciary rule
By The LifeHealthPro EditorsAdvisors personal liability concerns are skyrocketing due to the increased volume and scope of internal and external regulations, the Cogent report notes.
September 01, 2016
Texas judge denies all but 2 briefs in DOL fiduciary hearingFinancial Planning Coalition, American Association for Justice briefs allowed.
September 01, 2016
Texas judge denies all but 2 briefs in DOL fiduciary hearingFinancial Planning Coalition, American Association for Justice briefs allowed.
August 31, 2016
Will DOL Fiduciary Rule Drive RIAs to — or From — BDs?Broker-dealers have an opportunity to ease RIAs compliance burden brought by the DOL fiduciary rule, the 2016 Broker-Dealers of the Year say.
August 31, 2016
Texas Judge Denies All but 2 Briefs in DOL Fiduciary HearingThe two briefs don't repeat arguments made by either party in the case, the judge said; six briefs were rejected.
August 30, 2016
A DOL fiduciary rule compliance checklistHeres a pithy, practical, six-point checklist to help advisors of all stripes comply with the DOL rule.
August 30, 2016
A DOL fiduciary rule compliance checklistHeres a pithy, practical, six-point checklist to help advisors of all stripes comply with the DOL rule.
August 29, 2016
NAFA: Insurers to ‘have their butts sued off’ under DOL fiduciary ruleNAFA lawyers told a U.S. District judge Thursday that individual insurance agents would be forced to become registered investment advisors under the Department of Labors fiduciary rule.