Department of Labor

Click here to download an Excel file that compares vendors that offer costs data to help in complying with the DOL’s new rollover exemption (RCW, ...

The agency will release 'quite a bit of guidance' to help with compliance with the new IA ad rule 'between now and the November compliance ...

A peer shares a document that can aid an adviser in deciding whether to advise a client to rollover his assets into an adviser-managed IRA

If the previous administration flashed a red light at ERISA plans’ investment managers’ enthusiasm for ESG, the new proposal turns it green in more ways ...

'Inartful language' aside, private fund advocates call it a win

The DOL has stated that it will begin enforcing at the end of this month whether ERISA fiduciaries are following the department’s five-year-old impartial conduct ...

"I wouldn’t be surprised if there weren’t some litigation that comes out of it if DOL tries to get involved in the IRA space. I ...

RCW interviews Rachel Mayo, associate general counsel at Stephens Investment Management Group in Little Rock, Ark., and a former Labor Department official, about what advisers ...

Two words of caution about vendors: they can be very expensive and “the accuracy of the data and whether or not it’s current”

Some advisers err because their reps write inadequate comments, such as “the client prefers to stay with me”