DOL Fiduciary Duty Rule

The Department of Labor certainly got an earful from critics and proponents alike of its fiduciary rule proposal in a four-day public hearing this week ...

At least 1,700 industry and public comments arrived before the July 21 deadline for comments on the Department of Labor’s fiduciary duty proposal expired (IA ...

As the July 21 initial comment period closes in on the Department of Labor’s controversial fiduciary duty rule proposal, the likes of President Obama, the ...

The story features a veteran from Illinois and his wife who saved their money for more than four decades, investing it at Vanguard ($3T in ...

The battle’s on. SIFMA released June 3 a detailed “best interests of the customer standard” for broker-dealers that included regulatory language to replace FINRA rule ...

Moving to a properly designed best interest standard for broker-dealers is a “must” in the eyes of FINRA chairman/CEO Richard Ketchum. At the SRO’s annual ...

Ketchum addresses the fiduciary duty issue and takes aim at the Department of Labor's recent fiduciary duty standard proposal.

An extension of any length appears to beat no extension at all. That’s the consensus after the Department of Labor announced May 15 that it ...

The road ahead for the Department of Labor’s recent fiduciary duty proposal has many more miles to go but the proposal’s possible impacts are becoming ...

For broker-dealers, the “best interest contract exemption” to the Department of Labor’s fiduciary proposal (IA Watch, April 14, 2015) is good news and bad news. ...