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.
NAFA: Insurers to ‘have their butts sued off’ under DOL fiduciary rule
By Melanie WaddellNAFA 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.
August 26, 2016
IMOs can anticipate hurdles ahead under the DOL ruleOne chief concern among industry stakeholders is that the DOL has outsourced enforcement of the fiduciary rule to the class action bar.
August 26, 2016
IMOs can anticipate hurdles ahead under the DOL ruleOne chief concern among industry stakeholders is that the DOL has outsourced enforcement of the fiduciary rule to the class action bar.
August 25, 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 24, 2016
Trone, Swisher to Craft ARA, Morningstar Fiduciary Education ProgramIRA Fiduciary Adviser education program will prepare advisors for a continuously shifting regulatory environment, says ARA's Graff.
August 23, 2016
How are rollovers treated under the DOL fiduciary rule?You can curb potential abuses by "capturing" rollovers.
August 23, 2016
3 IRA Transactions Exempt From DOL Fiduciary Level Fee RuleThere are three recommendations that are fiduciary in nature and automatically result in prohibited transactions under DOL's fiduciary rule, and they all involve IRAs.
August 22, 2016
DOL Rule: Is That All There Is?But make sure, RIAs, you're complying with the DOL's Advisory Opinion 2005-23A when providing rollover recommendations to plan participants.