Results for "fiduciary"

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Choosing default investment alternatives for 401(k)s requires close due diligence

May 25, 2016

Target date funds are the runaway top choice to serve as the default option for 401(k) plans. According to the Plan Sponsor Council of America, over 80% of all 401(k) plans elect to use a Qualified Default Investment Alternative (QDIA) and over...

DOL fiduciary rule trips up robo efforts at BlackRock, Schwab

May 16, 2016

The DOL fiduciary rule is throwing a wrench into the robo-advice efforts at BlackRock and Schwab. Some robo advisers may need to substantially change their business practices and how they operate. Jim Cramer, the TV personality known for rolling...

Broker recruitment bonuses on DOL's radar

May 12, 2016

Buried in the sprawling, 1,000-plus-page Department of Labor fiduciary rule released last month are two references to “recruitment compensation,” the lucrative bonuses brokers receive when leaving one firm to join another. The references...

How advisers expect the DOL fiduciary rule will reshape the advice industry

May 9, 2016

Financial advisers are anticipating widespread changes in their industry as the Department of Labor's fiduciary rule is phased in over the next 18 months. The rule that promulgates a best-interest standard for all retirement advice will put...

How to sell fixed indexed annuities in a DOL fiduciary environment

May 4, 2016

Many providers of fixed indexed annuities and advisers who sell them were caught off guard when the Labor Department failed to exempt them from a fiduciary standard under the department's new rule. As advisers now weigh how to make recommendations...

Independent broker-dealers suffer worst year since credit crisis

April 25, 2016

For the independent broker-dealer industry, 2015 was the worst year in the last six, and 2016 promises to be just as difficult — if not more so. “If 2015 was bad, 2016 is worse,” said Joel Marks, the former chairman of independent broker-dealers...

51% of advisers see DOL fiduciary rule benefiting business

April 21, 2016

Just over half of the financial advisers polled a week after the Labor Department released its fiduciary rule think it will be good for business as it will level the playing field for retirement account advice. Asset manager Pioneer Investments...

DOL fiduciary rule creates 'prime hunting season' for 401(k) specialists

April 19, 2016

A panel of executives representing broker-dealers and registered investment advisers said the fallout from the Labor Department's new fiduciary rule would create a ripe opportunity for advisers specializing in 401(k) plans to steal business...

Three GOP senators co-sponsor resolution to kill DOL fiduciary rule

April 18, 2016

Three Republican senators have banded together to kill the Labor Department's fiduciary rule that requires financial advisers to put their clients' best interests ahead of their own when helping with retirement accounts. Senators Johnny Isakson...

DOL rule akin to being peed on by a baby: NAPA head

April 18, 2016

The executive director of the largest retirement plan adviser trade group on Sunday equated the Labor Department's new “fiduciary” rule to an infant that “pees you in the face,” joining a large chorus of observers citing the complexity...

How will the DOL enforce its fiduciary rule?

April 12, 2016

The Labor Department released the final version of its fiduciary rule last week, bringing about major structural changes for how investment advice is delivered in retirement accounts. Yet arguably the most important and challenging step in the...

Labor Secretary Thomas Perez gets high marks for guiding the fiduciary rule through the regulatory shoals

April 10, 2016

When Labor Secretary Thomas Perez last week rolled out the final version of a regulation that would raise investment advice standards for retirement accounts, he achieved a major milestone for a measure that was first proposed nearly six years...

President Obama's SEC nominees are being held up by fellow Democrats

April 8, 2016

Democrats are blocking President Obama's SEC nominees in a cat fight over the disclosure of political spending. Awkward. Fairly unusual opposition to Mr. Obama. Forcing the minimum wage up to $15 an hour sounds great in theory. In practice?...

Vanguard, Fidelity bank on robos, low-cost strategies to ride DOL fiduciary rule wave

April 7, 2016

In the shakeout over the Department of Labor's fiduciary rules for retirement accounts, mutual fund giant Vanguard is a clear winner — but archrival Fidelity won't be hurting, either. The rules, announced Wednesday, require that brokers act...

DOL rule could help small company retirement plans

April 5, 2016

Business owners who offer retirement plans could be one of the unexpected beneficiaries of the Department of Labor's fiduciary rule, which is expected to be announced Wednesday. Ron Rhoades, a lawyer and financial planner in Bowling Green, Kentucky,...

DOL fiduciary rule delay likely and death not out of the question

December 16, 2016

Post-election, the fate of the Department of Labor's fiduciary rule is in question. Confusion and speculation about how, when and if the rule will move forward threaten to distract firms from planning and preparing for its scheduled implementation...

OMB completes review of DOL fiduciary rule

April 4, 2016

The Office of Management and Budget has completed its review of the Labor Department's fiduciary rule, paving the way for the imminent release of the final regulation. The OMB concluded its regulatory review of the fiduciary rule on Sunday,...

The rollover irony of the DOL's proposed fiduciary rule

March 30, 2016

When the Labor Department proposed its fiduciary rule last year, stakeholders identified rollovers as one area that could be thrown into upheaval. It's easy to see why — in the rule's current iteration, the act of recommending that a retirement...

The implications of the DOL retirement study for plan advisers

March 17, 2016

The government announcement seemed innocuous and fairly bland. On Feb. 29, the Department of Labor published one of those arcane agency notices in the Federal Register. The DOL was seeking public comment on a proposed multiyear series of household...

Fidelity study says half of RIAs foresee negative business impact due to DOL fiduciary rule

March 14, 2016

Half of registered investment advisers perceive there will a negative impact on their business as a result of a proposed Labor Department rule to raise investment-advice standards on retirement accounts, according to a new study conducted by...

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