DOL Fiduciary Duty Rule

Why now? The proposal states that “the regulatory landscape has changed as other regulators, including the SEC, have adopted enhanced conduct standards for financial services ...

I look forward to continuing our work with the Department so that collectively we can enhance investor choice and increase investor protections

Financial professionals "could receive a wide variety of payments that would otherwise violate the prohibited transaction rules, including, but not limited to, commissions, 12b-1 fees, ...

A New York assemblyman is preparing legislation that will bring the ongoing battle over whether broker-dealers owe a fiduciary duty to their clients to the ...

The revelation appears as the SEC is due to move on its fiduciary duty proposals

The SEC must have gotten something right with its three fiduciary duty proposals if it could both upset and please those who wish for a ...

The same day a federal court decision vacating the Labor Department’s fiduciary duty rule was due to take effect, the DOL released a statement continuing ...

One of the challenges facing the industry and investors is “there are too many regulatory ‘cooks in the kitchen,’” according to SEC Chairman Jay Clayton. ...

The rollercoaster ride that has been the Labor Department’s fiduciary duty rule has taken another sharp turn. But hang on

Top officials at SIFMA are increasingly confident that the SEC will develop its own fiduciary rule proposal that will not conflict with the Department of ...