DOL
Get the latest news and insights on the Department of Labor's moves around the fiduciary rule, other financial regulations, enforcement actions and more.
August 07, 2013
Senate Democrats seek delay in DOL fiduciary rulingTen Senate Democrats push for a delay in the Department of Labor's fiduciary ruling until after the SEC decides to hand down its own version.
August 06, 2013
DOL, SEC Fiduciary Rules May Clash, Senators Tell OMBTen Democratic senators urged the OMB to carefully review DOLs fiduciary reproposal to ensure that it doesnt directly conflict with the SECs fiduciary rule.
August 01, 2013
SEC, DOL Enforcement: Indiana School District, Muni Bond Writer Face Investor Fraud ChargesRecent actions include FERC winning a $410 million settlement from JPMorgan, DOL stepped in against Kentucky-based plan fiduciaries, insider trading charges against former CEO in Spain.
July 29, 2013
Fiduciary Stumbling Blocks SurfaceSeveral potential stumbling blocks have surfaced in the past couple of months that could stymieor outright derailrelease of fiduciary rules by the SEC and DOL.
July 25, 2013
AICPA attacks DOL fiduciary plan’s ESOP languageAICPA urges lawmakers to support bills that would ensure independent appraisers of ESOP are not designated as fiduciaries.
July 25, 2013
AICPA attacks DOL fiduciary plan’s ESOP languageAICPA urges lawmakers to support bills that would ensure independent appraisers of ESOP are not designated as fiduciaries.
July 25, 2013
AICPA Attacks DOL Fiduciary Plan’s ESOP LanguageAICPA urges lawmakers to support bills that would ensure independent appraisers of ESOP are not designated as fiduciaries.
July 24, 2013
Advisors prepare to water down DOL fiduciary ruleThe coming months will be crucial as investment advisors work to shape the regulation to their liking.
July 24, 2013
Advisors prepare to water down DOL fiduciary ruleThe coming months will be crucial as investment advisors work to shape the regulation to their liking.
July 18, 2013
DOL Fiduciary Redraft Has ‘Left the Station’The confirmation of Assistant Attorney General Tom Perez as the new secretary for the Department of Labor on Thursday will not hinder the DOLs release of its fiduciary reproposal, which the department says will come in October.