Employee Retirement Income Security Act (ERISA)

The Department of Labor Jan. 28th sent its controversial fiduciary duty final rule to the federal Office of Management and Budget. OMB has 90 days to ...

This is a sample guide to comply with the Department of Labor's 408(b)-2 rule. This is simply a better designed version of a sample guide ...

For months, you’ve heard the dire warnings from many in the industry about the real world effects should the Department of Labor’s fiduciary duty proposal ...

Several years ago, the SEC granted relief for registrants facing conflicting Commission and ERISA rules (IA Watch, Nov. 7, 2011). Earlier this year, an SEC ...

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 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 ...