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Department of Labor (135)
Your search for Department of Labor returned 135 results.
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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...
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 ...
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 ...
6/08/2017 | Content area: Investment Adviser
It’s been a virtual blizzard of surveys, economic studies, academic papers and industry comment letters ever since the Department of Labor finalized i...
5/04/2017 | Content area: Investment Adviser
Former Sullivan & Cromwell Partner Jay Clayton was sworn in May 4 as chairman of the SEC, two days after the Senate confirmed him for the role. Despit...
4/05/2017 | Content area: Investment Adviser
This document extends for 60 days the applicability date of the final regulation, published on April 8, 2016, defining who is a “fiduciary” under the ...
1/26/2017 | Content area: Investment Adviser
Senator Elizabeth Warren (D-Mass.) wants to know where firms having already implemented significant changes to comply with the looming DOL rule stand ...
1/19/2017 | Content area: Investment Adviser
The exemption proposed in this document, if granted, would allow certain insurance intermediaries, and the insurance agents and insurance companies th...
11/23/2016 | Content area: Investment Adviser
If Vegas gave odds, the house would bet that the Labor Department’s fiduciary duty rule won’t take effect next April as planned.    Sarah Kelly, the d...
11/07/2016 | Content area: Investment Adviser
Late last Friday, a U.S. District Court Judge in Washington, D.C. sided with the Labor Department and dismissed the National Association for Fixed Ann...
11/07/2016 | Content area: Investment Adviser
Six months after the Labor Department announced a $10 million settlement with Invesco Trust Company via a press release, the agency has finally releas...
11/03/2016 | Content area: Investment Adviser
Clarity on what makes for a level-fee fiduciary. Guidance on what types of compensation arrangements may cross a line. A promise by the Department of ...
11/03/2016 | Content area: Investment Adviser
With under six months to go before the Labor Department’s fiduciary duty rule becomes applicable (see related story), you now have 34 new FAQs spread ...
11/03/2016 | Content area: Investment Adviser
Compare the DOL’s BIC Lite with the Full BIC The appearance of the Labor Department’s initial FAQs tied to its fiduciary duty rule (...
11/01/2016 | Content area: Investment Adviser
This is the first set of potentially three frequently-asked-questions release by the U.S. Department of Labor targeting the agency's fiduciary duty ru...
10/13/2016 | Content area: Broker-Dealer
It’s no secret that the Department of Labor’s fiduciary rule is going to be costly to the broker-dealer community. A new study estimates just how cost...
7/14/2016 | Content area: Investment Adviser
Regulations as extensive and complex as the Department of Labor’s fiduciary duty rule are likely to have a few words out of place. Two new corrections...
7/11/2016 | Content area: Investment Adviser
The corrections in this document fix typographical errors, make minor clarifications to provisions that might otherwise be confusing, and confirm insu...


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