DOL Fiduciary Duty Rule

This document corrects two errors in the preamble of a document that appeared in the Federal Register on November 29, 2017.

This document extends the special transition period under sections II and IX of the Best Interest Contract Exemption and section VII of the Class Exemption ...

Wednesday's Federal Register will contain a formal order from the Labor Department delaying until July 2019 key elements of its controversial fiduciary duty rule.   This ...

Treasury Department Secretary Steven Mnuchin believes the regulatory framework for the asset management industry “can be significantly improved.” With the costs of asset management expected ...

All eyes and ears trained on the SEC’s two commissioner nominees when they appeared before the Senate Banking Committee on Oct. 24. Despite the nominee ...

Only part of the Labor Department’s controversial fiduciary duty rule took effect in June and the Consumer Federation of America says brokers are either rampantly ...

One week after SEC Chairman Jay Clayton seemed tepid about moving on a fiduciary duty standard (IA Watch, Sept. 28, 2017), he told another group ...

Dissect the words SEC Chairman Jay Clayton told Congress Sept. 26 and you find no pledge to adopt a uniform fiduciary duty standard – four ...

You’ll have until Sept. 14 to comment on the Labor Department’s new proposed rule that would delay its controversial full fiduciary duty rule until July ...

Even as the Labor Department’s proposed 18-month delay in its full fiduciary duty rule rests at the federal Office of Management and Budget, satisfaction and ...