Results for "fiduciary"

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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...

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...

Bond shop may have to drop clients due to DOL rule

April 1, 2016

With the Labor Department expected to release the final version of the new fiduciary rule next week, some investors are already being put on notice that they may have to go elsewhere for their financial service needs. Ronald Bernardi, president...

Time to get on board the fiduciary train

March 27, 2016

For better or worse, the fiduciary train has left the station, and financial advisers of every ilk had better be on board. Tens of thousands of brokers, registered investment advisers and those who straddle both sides of the fiduciary fence...

DOL fiduciary rule will transform the annuity industry

February 21, 2016

If the Labor Department has its way, say goodbye to the variable annuity industry as we know it. The department's pending fiduciary rule, if finalized in its proposed form, would have profound effects on variable annuities sold in retail retirement...

LPL eyes more fee-based variable annuities as fiduciary rule looms

February 12, 2016

LPL Financial anticipates more variable-annuity distribution on an advisory basis as one potential outcome of the Labor Department's proposed fiduciary rule. The independent broker-dealer has had a fee-based VA platform for several years, but...

Sen. Warren, Rep. Cummings accuse financial industry of crying wolf on DOL fiduciary

February 11, 2016

Wall Street critics in Congress are accusing the financial industry of talking out of both sides of its mouth when it comes to a pending Labor Department rule that would raise investment advice standards for retirement accounts. Sen. Elizabeth...

Two bills to stop DOL fiduciary rule advance in House

February 2, 2016

A House committee Tuesday sent two bills that would halt a Labor Department fiduciary rule to the chamber floor without Democratic support. The House Education and Workforce Committee approved the measures on party-line votes. It's not clear...

Sale of AIG Advisor Group may signal wave of mergers ahead

January 29, 2016

The sale of AIG Advisor Group earlier this week might be the first of a wave of mergers in the independent broker-dealer industry as a result of looming regulation from the Labor Department. American International Group Inc.'s CEO Peter Hancock...

New Finra pricing rules for illiquid investments shaking up IBD industry

January 26, 2016

The Financial Industry Regulatory Authority Inc.'s new pricing rule for illiquid investment products is shaking up both the sponsors that create and issue products such as nontraded real estate investment trusts as well as the broker-dealers...

DOL poised to advance final fiduciary rule

January 20, 2016

The Labor Department is poised to advance as early as this month a final rule that would raise investment advice standards for retirement accounts. The agency is working to get the measure to the Office of Management and Budget for review by...

The case for why the DOL fiduciary rule won't kill IRA rollovers

December 22, 2015

Ever since the Labor Department handed down its rule to raise investment-advice standards for retirement accounts this past spring, stakeholders have postulated effects the proposed regulation will have on the 401(k) and IRA markets. One main...

How new leadership at DOL could address retirement rules

January 25, 2018

By all accounts, the administration of Donald J. Trump is slashing regulations across government. However, there are some exceptions to the rule, and a less ambitious deregulatory regime seems likely under new leadership at the Department of...

Republicans want to see cost-benefit analysis before SEC proceeds on fiduciary

November 18, 2015

House Republicans indicated Wednesday they want to see a detailed analysis of the impact of a regulation to raise investment advice standards before the Securities and Exchange Commission proposes one — a requirement that could slow down an...

Fiduciary liability unclear when selecting and monitoring default retirement investments

November 12, 2015

The Labor Department justifiably can claim credit for its role in the success that auto enrollment and qualified default options have had in boosting worker retirement savings. These measures were enacted following the passing of the Pension...

How advisers can manage IRA rollover risk under the DOL fiduciary rule

January 19, 2018

Advisers need to examine their practices for IRA rollovers in the new fiduciary environment created by the Department of Labor's conflict-of-interest rule. As background, there are three ways an adviser can help a participant with a rollover....

NAPFA leader claims 'moral high ground' in fiduciary fight

October 26, 2015

Fee-only investment advisers who support a pending Labor Department advice rule say they will step up their lobbying in order to project their voices amid the din of industry opposition. “We are outspent and outgunned, but we have the moral...

4 ways the Labor Department is about to rock our world

October 13, 2015

Every once in a while the government passes a regulation that completely alters the landscape. The new standards proposed by the Labor Department for ERISA participants and their advisers will have the biggest impact since the deregulation of...

Bipartisan backing to halt DOL fiduciary rule nowhere in sight

September 10, 2015

Members of Congress showed their stripes at a hearing in the House of Representatives on Thursday, with Democrats appearing willing to stand with the Obama administration on a controversial Labor Department regulation that would raise investment...

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