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DOL releases final fiduciary rule
Here is your first look at the actual regulation detailing requirements for advice to retirement accounts.
Frequently asked questions about the DOL fiduciary rule
Answers to common sources of confusion or misunderstanding about the new regulation.
Historical timeline of fiduciary duty for financial advice
1934 Securities and Exchange Act SEC commission in 1934 The law…
DOL set to unveil ‘streamlined’ fiduciary rule
Labor Department lays out the final version of its regulation to raise investment advice standards for retirement accounts. Sign up for our webcast taking a deep dive into how the changes will affect your business.
From Hillary Clinton to Charles Schwab, top quotes on the DOL fiduciary rule
Politicians, custodians, broker-dealers, wirehouses, advisers and more shared their perspectives on the landmark legislation.
What changes to look for in the final DOL fiduciary rule
Advocates, opponents of the rule seek similar alterations, and we'll likely know Wednesday if they were made.
Three ways to take advantage of shortcomings in the DOL fiduciary rule
Advisers can use the rule's deficiencies to rise above the competition in navigating the new landscape.
The DOL fiduciary rule could push these firms’ variable annuity sales even lower
Only one firm, MetLife, posted any substantial gains, as market volatility and fixed indexed annuities cut into VA business.
Despite industry fears, DOL’s fiduciary rule is just more of the same
Scan of recent orders and reports from SEC, Finra shows the advice industry is already feeling the effects of fiduciary.
Ted Cruz, gaining anti-Trump momentum, seen as friend of financial industry
Republican presidential nominee is a foe of regulation and has offered a tax plan that could appeal to advisers.
Industry should understand being a fiduciary is right for both clients and business
It's much easier to put clients first and keep them there than to find a new tool or product to sell.
DOL, SEC fiduciary rules may diverge, Mary Jo White tells lawmakers
The Securities and Exchange Commission chairwoman said the agencies are separate, with different mandates.
Finra: Broker charged $11M in commissions for nontraded REITs and BDCs and lied about it
Regulator said he failed to tell Native American tribe about fees.
SEC Investor Advisory Committee calls for better mutual fund fee disclosure
Group's recommendations include showing fees in dollar amounts on customer account statements.
DOL rule could help small company retirement plans
The impending fiduciary rule would shield owners from some lawsuits.
Frequently asked questions about the DOL fiduciary rule
Answers to common sources of confusion or misunderstanding about the new regulation.
OMB completes review of DOL fiduciary rule
The Labor Department cleared the last step in the regulatory process before release of its final rule.
How brokers can address potential revenue conflicts under DOL fiduciary rule
12b-1 fees and revenue sharing may need to be treated differently under the new fiduciary regulatory structure.
DOL rule silver lining? It may trigger a shift of $1 trillion to ETFs
Five specific aspects of the DOL's new rule that could send assets flooding into ETFs.
Wave of Finra arbitration claims expected from bad bets on energy
Investors claim brokers put too much of their nest eggs into oil and gas companies.
