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DOL Fiduciary Duty Rule

This is the Department of Labor's 2023 proposed rule redefining a fiduciary under ERISA
Young woman hiking in the Snowdonia mountains, Wales. Pointing in the right direction.
It looks like the DOL is poised to release its new retirement security rule proposal any day now
Woman judge hand holding gavel to bang on sounding block in the court room.
The judge even alluded to the DOL’s past legal losses, writing that 'the Court must also recognize that other similar agency efforts have not held ...
Hourglass on laptop computer concept for time management and countdown to deadline
The deadline for the first annual respective review under the DOL's rollover exemption arrives in July
Court of Law and Justice Trial Session: Imparcial Honorable Judge Pronouncing Sentence, striking Gavel. Focus on Mallet, Hammer. Cinematic Shot of Dramatic Not Guilty Verdict. Close-up Shot.
The effect of the decision doesn’t vacate the rollover exemption but could well confuse advisers as to how to comply with it
Green traffic light against cloudy sky.
Investment managers can consider “the economic effects of climate change and other environmental, social, or governance factors” when making investment decisions under ERISA without risking ...
Sign outside Department of Labor building, Washington, DC
The SEC also is conducting rulemaking on disclosures by mutual funds, other SEC-regulated investment companies, and SEC-regulated investment advisers designed to provide consistent standards for ...
A peer shares the firm's rollover form created to comply with the Labor Department's new rollover exemption
It’s possible the SEC could alert the DOL to violations of its exemption rules. When the DOL shows up, though, it’s usually too late, he ...
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, ...

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