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.
DOL Delay Leads to Some Regrouping at BDs
By Janet LevauxMerrill Lynch recently told its Thundering Herd that it plans to explore options for at least some clients who might benefit from commissions in retirement accounts.
March 22, 2017
Texas judge denies emergency request to block DOL fiduciary rulePlaintiffs failed to satisfy four factors required to obtain an injunction pending appeal.
March 02, 2017
'As of Today,' April 10 Is DOL Fiduciary Compliance Date: AttorneyAt IAA compliance conference, the DOL fiduciary rule delay, the SEC and the Financial Choice Act take center stage.
March 02, 2017
DOL ‘relief’ would kill small annuity marketers, groups sayNAFA says a stiff minimum size requirement would shut out most IMOs.
March 01, 2017
Industry Weighs In on DOL Plan to Delay Fiduciary RuleThe 60-day delay will let DOL "review the rules impact ... while providing firms additional time to prepare for potential changes," says SIFMA's Bentsen.
February 28, 2017
OMB Finishes Review of Fiduciary Rule Delay RequestAttorney Tom Clark sees DOL announcing as early as this week how much of a delay it is seeking.
February 22, 2017
Judge Denies Request to Halt Thrivent DOL Fiduciary CaseThe court agrees with Plaintiff that a stay is not warranted at this time, District Court judge says.
February 21, 2017
OMB Looks Ready to OK Delay of Fiduciary RuleA delay of the rule's implementation could become effective as early as this week, regulatory watchers say.