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, SEC Enforcement: DOL Wins Settlement for Whistleblowers
By Marlene Y. SatterMeanwhile, the SEC charged a former investment bank analyst who worked in JPMorgans San Francisco office with insider trading.
August 14, 2015
Witness says brokers try to pass themselves off as fiduciariesTestimony details retiree horror stories during hearings on DOL fiduciary rule.
August 14, 2015
Why the proposed DOL fiduciary rule could lead to an agent exodusPast MDRT President Phillip Harriman says Washington's zeal for new policies and procedures is making retirement planning more complex and confusing for consumers.
August 14, 2015
Why the proposed DOL fiduciary rule could lead to an agent exodusPast MDRT President Phillip Harriman says Washington's zeal for new policies and procedures is making retirement planning more complex and confusing for consumers.
August 13, 2015
CFA criticizes 3 industry arguments against proposed DOL fiduciary ruleThe Consumer Federation of America has targeted 3 arguments made by the financial industry against the proposed DOL fiduciary standard.
August 13, 2015
Don Trone Blasts DOL Fiduciary Plan: Still Wouldn’t Stop MadoffDOLs fiduciary plan does not define a fiduciary standard, just punitive rules,' argues Father of Fiduciary.
August 12, 2015
Perez vows to finalize DOL fiduciary ruleThe new proposal was designed to allow for the flexibility the financial services industry requested, Perez wrote.
August 11, 2015
Ken Fisher’s 401(k) Unit Says DOL Fiduciary Plan Limits Investment AdviceSmall plans could be hurt; DOL must also make clear some marketing activities are not fiduciary activity, Fisher unit said in comment letter.