DOL Fiduciary Duty Rule

Senator Elizabeth Warren (D-Mass.) wants to know where firms having already implemented significant changes to comply with the looming DOL rule stand on a rumored ...

The exemption proposed in this document, if granted, would allow certain insurance intermediaries, and the insurance agents and insurance companies they contract with, to receive ...

Like the FAQs the Department issued on October 27, 2016, on the Prohibited Transaction Exemptions, these FAQs focus particularly on specific technical questions raised by ...

Even as a new Administration takes office that many believe will bury the Labor Department’s controversial fiduciary duty rule, the industry is poring over a ...

The SEC has done it again – given regulatory guidance sparked by the Labor Department’s fiduciary duty rule (IA Watch, Jan. 5, 2017), which kicks ...

There appears to be no interest at the SEC to push a uniform fiduciary duty standard but the agency has had to acknowledge that the ...

This Guidance Update is focused on disclosure issues and certain procedural requirements with offering variations in Fund sales loads and new Fund share classes.3 We ...

If Vegas gave odds, the house would bet that the Labor Department’s fiduciary duty rule won’t take effect next April as planned.    Sarah Kelly, ...

Late last Friday, a U.S. District Court Judge in Washington, D.C. sided with the Labor Department and dismissed the National Association for Fixed Annuities’ lawsuit seeking ...

Clarity on what makes for a level-fee fiduciary. Guidance on what types of compensation arrangements may cross a line. A promise by the Department of ...