DOL Fiduciary Duty Rule

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. ...

With the Federal Register release of the Department of Labor’s new proposal revising the definition of a fiduciary under ERISA, you have until July 6 ...

With the bulk of their assets in retirement accounts, independent broker-dealers are bracing for big changes in the wake of the Department of Labor’s proposal ...

The Department of Labor packs a lot into its new 120-page proposed rule redefining a fiduciary. It contains a new “best interest contract exemption” under ...