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DOL Fiduciary Duty Rule (100)
Your search for DOL Fiduciary Duty Rule returned 100 results.
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10/18/2018 | Content area: Investment Adviser
Query Webster’s and you find a “fiduciary” defined as “one who acts ... in a fiduciary capacity.”   The adjective offers more help: “involving a confi...
5/24/2018 | Content area: Investment Adviser
The SEC must have gotten something right with its three fiduciary duty proposals if it could both upset and please those who wish for a tougher best i...
5/10/2018 | Content area: Investment Adviser
The same day a federal court decision vacating the Labor Department’s fiduciary duty rule was due to take effect, the DOL released a statement continu...
5/03/2018 | Content area: Investment Adviser
One of the challenges facing the industry and investors is “there are too many regulatory ‘cooks in the kitchen,’” according to SEC Chairman Jay Clayt...
3/20/2018 | Content area: Investment Adviser
The rollercoaster ride that has been the Labor Department’s fiduciary duty rule has taken another sharp turn. But hang on.   That split, 2-1 decision ...
12/07/2017 | Content area: Investment Adviser
This document corrects two errors in the preamble of a document that appeared in the Federal Register on November 29, 2017.
11/27/2017 | Content area: Investment Adviser
This document extends the special transition period under sections II and IX of the Best Interest Contract Exemption and section VII of the Class Exem...
11/27/2017 | Content area: Investment Adviser
Wednesday's Federal Register will contain a formal order from the Labor Department delaying until July 2019 key elements of its controversial fiduciar...
11/02/2017 | Content area: Investment Adviser
Treasury Department Secretary Steven Mnuchin believes the regulatory framework for the asset management industry “can be significantly improved.” With...
10/26/2017 | Content area: Investment Adviser
All eyes and ears trained on the SEC’s two commissioner nominees when they appeared before the Senate Banking Committee on Oct. 24. Despite the nomine...
10/12/2017 | Content area: Investment Adviser
Only part of the Labor Department’s controversial fiduciary duty rule took effect in June and the Consumer Federation of America says brokers are eith...
10/05/2017 | Content area: Investment Adviser
One week after SEC Chairman Jay Clayton seemed tepid about moving on a fiduciary duty standard (IA Watch, Sept. 28, 2017), he told another group of la...
9/28/2017 | Content area: Investment Adviser
Dissect the words SEC Chairman Jay Clayton told Congress Sept. 26 and you find no pledge to adopt a uniform fiduciary duty standard – four months afte...
8/31/2017 | Content area: Investment Adviser
You’ll have until Sept. 14 to comment on the Labor Department’s new proposed rule that would delay its controversial full fiduciary duty rule until Ju...
8/17/2017 | Content area: Investment Adviser
Even as the Labor Department’s proposed 18-month delay in its full fiduciary duty rule rests at the federal Office of Management and Budget, satisfact...
8/10/2017 | Content area: Investment Adviser
What’s the likely future for the fiduciary duty rule? Will the SEC cooperate with the Labor Department on a uniform standard? These are among the que...
8/09/2017 | Content area: Investment Adviser
The Department of Labor Aug. 9 filed a proposal with the federal Office of Management and Budget that seeks to delay its controversial fiduciary duty ...
8/08/2017 | Content area: Investment Adviser
The following FAQs provide information on (1) a “fiduciary status disclosure” issue under the Department of Labor’s ERISA section 408(b)(2) service pr...
7/06/2017 | Content area: Investment Adviser
That’s a lot of information that the Labor Department asks for in its new request for information seeking comments on whether its full fiduciary duty ...
7/06/2017 | Content area: Investment Adviser
With the initial phase of the DOL’s fiduciary duty rule kicking in last month and the rule being on the front burner for months, advisers couldn’t be ...


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