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As DOL fiduciary rule takes effect, B-Ds focus on compliance
Firms have trimmed their lineups of investment products, leveled broker compensation and standardized compensation across product lines
How the future of your retirement savings hinges on the fate of the fiduciary rule
While Washington wrestles with the fate of the fiduciary rule, the financial advice landscape remains supremely dangerous.
DOL fiduciary rule provides retirement savers with needed protections
The secretary of Labor should improve the regulation, not repeal it
RIAs and broker-dealers charge ahead in prep for DOL fiduciary rule
Many advisory firms have been progressing in changes required to meet the new regulation, despite the first delay and a broader review that continues.
DOL fiduciary rule reaction on Twitter
Big DOL fiduciary rule news requires a big reaction — at least on Twitter. Here's what people were saying about the news that the rule will become applicable beginning June 9
Democratic senators criticize Acosta for rushing to conclusion on DOL fiduciary rule
Sens. Murray, Warren, Booker and interest groups say that the labor secretary has only met with opponents of the regulation.
More 401(k) advisers face litigation risk in June under DOL fiduciary rule
Certain provisions of the rule will kick in putting those affected advisers more squarely in the line of fire of the litigation enforcement mechanism of ERISA.
Labor Secretary nominee Alexander Acosta says little about DOL fiduciary rule
During confirmation hearing, he talks mostly about overtime and minimum wage issues, although he's noncommital about his positions on those matters.
Retirement industry to undergo major changes with or without DOL fiduciary rule
Firms are moving forward with changes because it makes sense for advisers and their clients.
How independent financial advisers can build practices that thrive regardless of DOL fiduciary rule outcome
The most successful will be those who recognize that change in our industry is a constant.
The Department of Labor’s fiduciary rule: Where are we now?
The Trump administration has issued a proposed regulation to delay the applicability date of…
Brokers-dealers move to trim fund offerings as they adjust to DOL rule
Small fund companies may have to pivot, by embracing a niche specialization or redirecting sales forces toward new distribution channels.
Minnesota judge denies Justice Department’s request for stay in DOL fiduciary rule lawsuit
A district court judge has denied the Justice Department’s request for a stay in one of the several…
DOL fiduciary rule developments give both sides something to cheer
Both opponents and proponents of the Department of Labor’s fiduciary rule have something to cheer following February’s…
Higher investor protection standards ahead regardless of DOL fiduciary rule outcome
Advisers will need to be able to demonstrate they are recommending low-fee and high-performance products.
DOL fiduciary rule delay likely and death not out of the question
The rule could ultimately be killed or replaced, but only one course of action by firms provides certainty.
Appeals court denies NAFA motion for emergency injunction of DOL fiduciary rule
Appeals court denies annuity group's request for emergency injunction to delay implementation. (More: Federal court rejects NAFA attempt to kill DOL fiduciary rule )
Centralized Data Exchange Can Support DOL Fiduciary Rule Compliance
https://www.investmentnews.com/wp-content/uploads/assets/graphics src=”/wp-content/uploads2016/12/CI108208127.JPG” The U.S. Department of Labor’s (DOL’s) fiduciary rule for retirement-investment advisors has raised many, as-yet-unanswered…
Why it would be a mistake for advisers to stop implementing the DOL fiduciary rule
Given the political, procedural and business dynamics at play, it would be imprudent to cease or even slow down compliance efforts.
Trump administration could stymie DOL fiduciary rule by dropping legal defense
Instead of proposing new regulations or legislation to kill it, the new administration could simply stop fighting several lawsuits brought against the rule. (More: The most up-to-date information on the DOL fiduciary rule)
