The Client: ERISA plans/institutional management
May 8, 2018
DOL Refuses to Drop Fiduciary Rule, But Won’t Pursue Violations
Agency provides guidance in response to expected issuance of a mandate from appeals court vacating the rule.
Last Comment: May 8, 2018
May 3, 2018
Fifth Circuit Rejects Attempts to Save Fiduciary Rule
Meanwhile, SEC boss touts commissions’s proposal for a best interest regulation.
May 1, 2018
Wells Fargo Wouldn't Be Alone Pushing 401(k) Clients into Proprietary Products
Many record keepers were able to do so prior to the DOL’s fiduciary rule going into effect last summer.
April 27, 2018
DOL Fiduciary Rule Won’t Die, If AARP and Three States Can Help It
California, Oregon and New York attorneys general and the AARP file motions to intervene in appeals court ruling vacating the DOL’s rule.
Last Comment: April 27, 2018
April 24, 2018
DOL Likely Won’t Fight for Fiduciary Rule, Former Exec Says
SEC may have more room to work on its best-interest standard.
April 19, 2018
Galvin Keeps Heat on Scottrade Fiduciary Rule Case
Massachusetts’ top securities watchdog is trying to block the case from removal to federal court as requested by the firm.
April 16, 2018
Midterm Wins for Dems Could Lead to More State Fiduciary Rules
State fiduciary rules would stand as long as they don’t impact ERISA-governed plans, according to an attorney.
April 16, 2018
Investor Advocates Are Cautious about SEC Fiduciary Rule
Outline for Wednesday’s discussion has components of a strong rule, according to consumer lobby.
March 28, 2018
NAFA, DOL Drop Appeal Against Fiduciary Rule
The Fifth Circuit decision against the best-interest ruling earlier this month made NAFA’s appeal moot, director says.
March 27, 2018
FAs Warned: Stay Out of Harm’s Way
Are you unknowingly breaching your duty of care?
Last Comment: March 28, 2018