Department of Labor

This amendment permits investment advice fiduciaries to receive compensation when they extend credit to plans and IRAs to avoid a failed securities transaction. The amendment ...

The amended exemption allows fiduciaries and other service providers to receive compensation when plans and IRAs purchase insurance contracts, “Fixed Rate Annuity Contracts,” as defined ...

It can be challenging when you report to multiple regulators to keep their gifts and entertainment thresholds straight. The Department of Labor’s $250 annual threshold ...

As industry predictions contend that we’ll see a final Department of Labor fiduciary duty rule before the month is out, opponents of the rule point ...

The Midwest investment adviser had wended its way successfully through an SEC exam only months before an examiner from the Department of Labor arrived. Mere ...

The Department of Labor Jan. 28th sent its controversial fiduciary duty final rule to the federal Office of Management and Budget. OMB has 90 days to ...

This is a sample guide to comply with the Department of Labor's 408(b)-2 rule. This is simply a better designed version of a sample guide ...

For months, you’ve heard the dire warnings from many in the industry about the real world effects should the Department of Labor’s fiduciary duty proposal ...

The Financial Services Institute believes the true cost to the independent financial services industry and investors of the Department of Labor’s proposed fiduciary rule is ...

The Department of Labor certainly got an earful from critics and proponents alike of its fiduciary rule proposal in a four-day public hearing this week ...