DOL Fiduciary Duty Rule

A New York assemblyman is preparing legislation that will bring the ongoing battle over whether broker-dealers owe a fiduciary duty to their clients to the ...

The revelation appears as the SEC is due to move on its fiduciary duty proposals

The SEC must have gotten something right with its three fiduciary duty proposals if it could both upset and please those who wish for a ...

The same day a federal court decision vacating the Labor Department’s fiduciary duty rule was due to take effect, the DOL released a statement continuing ...

One of the challenges facing the industry and investors is “there are too many regulatory ‘cooks in the kitchen,’” according to SEC Chairman Jay Clayton. ...

The rollercoaster ride that has been the Labor Department’s fiduciary duty rule has taken another sharp turn. But hang on

Top officials at SIFMA are increasingly confident that the SEC will develop its own fiduciary rule proposal that will not conflict with the Department of ...

This document corrects two errors in the preamble of a document that appeared in the Federal Register on November 29, 2017.

This document extends the special transition period under sections II and IX of the Best Interest Contract Exemption and section VII of the Class Exemption ...

Wednesday's Federal Register will contain a formal order from the Labor Department delaying until July 2019 key elements of its controversial fiduciary duty rule.   This ...