Results for "fiduciary"

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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...

Perez tries to win over Democrats skeptical of DOL fiduciary rule

February 24, 2016

Labor Secretary Thomas Perez addressed a meeting of House Democrats on Wednesday to update them on progress of a pending rule that would raise investment advice standards for retirement accounts. But he hasn't yet won over some Democratic lawmakers...

How brokers can navigate consolidation in the B-D industry

February 4, 2016

Financial advisers today face more uncertainty and potential headwinds than ever before — the Department of Labor's pending fiduciary ruling, rising technology and compliance costs, and increased regulatory scrutiny are just a few of the significant...

IBDs trumped by Obama on DOL fiduciary, but vow to fight on

January 26, 2016

Thousands of motivated independent broker-dealers are an opposing force to the Labor Department's fiduciary rule, but they have met an immovable object: President Barack Obama.  That doesn't mean they're giving up on last-ditch efforts to upend...

New bills aim to stop DOL fiduciary rule

December 18, 2015

Bipartisan lawmakers introduced bills Friday that would stop a Labor Department proposal to strengthen investment advice rules for retirement accounts and replace it with a standard written by the legislators. The bills would require financial...

Bill to stop DOL fiduciary rule poised to pass House today

October 27, 2015

[Update since the story published: The bill did pass the House on Tuesday on an almost party-line vote, 245-186, with only three Democrats voting for it and two Republicans voting against it.] Legislation that would block a Labor Department...

Pension trade group believes DOL fiduciary rule is all but inevitable

October 19, 2015

Hundreds of retirement plan advisers are shifting their game plan as they descend on Capitol Hill this week. Instead of urging lawmakers to kill a Labor Department rule that would raise advice standards for 401(k)s and IRAs, they've accepted...

Advisers form coalition to oppose DOL fiduciary rule

October 2, 2015

A group of financial advisers has launched an effort to stop a Labor Department proposal that would raise investment advice standards for brokers working with retirement accounts. The Coalition to Protect Retirement Security and Choice is comprised...

DOL fiduciary rule: Challenges for RIAs under the BICE

September 29, 2017

On Aug. 31, the Department of Labor proposed to extend the applicability date for the full best-interest contract exemption to July 1, 2019. In all likelihood, that proposal will be finalized before the end of the year. With that in mind, what...

SEC commissioner: DOL fiduciary rule would create 'a mess'

August 4, 2015

Securities and Exchange Commission member Daniel Gallagher Jr. warned Tuesday that a Labor Department proposal to reduce conflicts of interest for brokers working with retirement accounts would create “a mess” in the regulation of investment...

DOL Secretary Perez touts Wealthfront as paragon of low-cost, fiduciary advice

June 19, 2015

In his effort to build support for a proposal to raise investment advice standards for retirement accounts, Department of Labor Secretary Thomas Perez often uses a prominent robo-adviser as a talking point. When he appeared at a June 17 congressional...

DOL fiduciary rule: The 5 biggest things to watch for if BICE's class-action provision is killed

August 29, 2017

The Trump administration last week delivered a clear signal it aims to kill one of the most hotly contested parts of its fiduciary rule — the provision about class-action lawsuits. Beginning Jan. 1 — or July 2019 if the DOL delays that implementation...

DOL fiduciary rule: Indexed, variable annuities big winners of a proposed delay

August 10, 2017

Indexed and variable annuities are the biggest winners of the Department of Labor's recently telegraphed fiduciary rule delay. Sales of the products, especially indexed annuities, would arguably have been the most adversely impacted under the...

DOL releases new fiduciary rule FAQs focused on 401(k) plans

August 4, 2017

The Department of Labor has released a new round of answers to frequently asked questions on the fiduciary rule, focusing primarily on issues affecting defined contribution plans and retirement plan advisers. The FAQs, released Thursday afternoon,...

Lessons 401(k) advisers learned from the DOL fiduciary rule saga

June 21, 2018

Retirement plan advisers, especially specialists, used to complain that their broker-dealers and the public ignored them — or, worse, didn't realize they existed. All that has changed now that retirement has become a key political issue and...

How did the DOL fiduciary rule change the world for 401(k) advisers?

July 6, 2017

With all the talk and activity around the Labor Department's fiduciary rule, you might have imagined a dramatically different world for advisers when they came to work June 9, the rule's official implementation date. But, for the vast majority...

DOL fiduciary rule on brink of death as key deadline passes

June 14, 2018

The Department of Labor fiduciary rule is teetering on the brink of death after the Justice Department, which was defending the rule in court, appears to have let a key deadline pass to keep the case alive. On March 15, the 5th Circuit Court...

Market forces could cause fundamental changes to small and midsize 401(k) markets

June 21, 2017

For years, experts have predicted the small-plan 401(k) market would have to change. Although prices have come down, they are still high when compared with larger plans, and the market is rife with inefficiencies. However, a series of dramatic...

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