DOL Fiduciary Duty Rule

Regulations as extensive and complex as the Department of Labor’s fiduciary duty rule are likely to have a few words out of place. Two new ...

The corrections in this document fix typographical errors, make minor clarifications to provisions that might otherwise be confusing, and confirm insurers’ broad eligibility to rely ...

The corrections either fix typographical errors or make minor clarifications to provisions that might otherwise be confusing.

However the Department of Labor’s new fiduciary rule may end up affecting you, don’t lose sight of your responsibility for suitability for regular brokerage accounts. ...

Your compliance program may be judged by SEC officials when they simply stop by and inquire about things.   One outgrowth of the Great Recession ...

Now that two separate lawsuits have been filed against the Department of Labor in hopes of eliminating its fiduciary duty rule, let’s consider their prospects. ...

The clock is ticking when it comes to the first phase of implementing the Department of Labor’s fiduciary rule. What should you be doing now ...

It had long been expected, and on June 1 a group of industry and business groups fulfilled the prophecy by filing a lawsuit in federal ...

The wrinkles in the Department of Labor’s new fiduciary duty rule are starting to show (IA Watch, April 14, 2016). Take soft dollars.   Even ...

As the Department of Labor official responsible for crafting the new fiduciary rules, Timothy Hauser is much listened to. And from the nuances of exemptions to ...