DOL Fiduciary Duty Rule

These exemptions generally permit fiduciaries to receive compensation or other benefits as a result of the use of their fiduciary authority, control or responsibility in ...

The ERISA and Code provisions at issue generally prohibit fiduciaries with respect to employee benefit plans and individual retirement accounts (IRAs) from engaging in self-dealing in ...

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 ...

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 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 ...

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 ...

With the last year of President Obama’s tenure fast approaching, the biggest open question for the financial services industry is whether there will be movement ...

The SEC’s Division of Investment Management and the Office of Compliance Inspections and Examinations are actively developing a recommendation that would establish a program of ...

The House of Representatives on Oct. 27 passed a bill that would halt the Department of Labor’s proposed fiduciary rule and require the agency to ...