DOL Fiduciary Duty Rule

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, ...

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

A peer shares a worksheet to use when a client seeks to rollover her 401(k) assets into an adviser-managed IRA

This form helps with documentation of rollovers

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 ...