Here’s What’s Next For The DOL Fiduciary Rule.
Regulation Best Interest compliance examinations are around the corner. Yet, just as Advisors and Brokers adapt to a new Reg-BI environment the Department of Labor (DOL) proposed a new regulation that will affect anyone who gives investment advice.
Pros and Cons of State Fiduciary Rule Initiatives
In 2019 with the DOL’s fiduciary rule in the ground, individual states are starting to pick up the mantle. Is this ongoing trend a positive or a negative one? Here...Read More
New Fiduciary Rule Introduced in Maryland
Lawmakers in Maryland have recently introduced a new bill (Senate Bill 786) called the Financial Consumer Protection Act of 2019. Within the bill is a provision which would require broker-dealers,...Read More
Post DOL Fiduciary Rule Regulatory Challenges
The DOL Fiduciary Rule is dead. All we know is that something will replace it, someday. Maybe. As this article from InvestmentNews points out, that leaves advisors in a state...Read More
Post DOL Fiduciary Rule Effect on Investors
The story of the Department of Labor fiduciary rule has been nothing else but a roller coaster ride. The ride which began in 2015 and initiated by President Obama’s administration,...Read More
Staying Committed to the DOL Fiduciary Rule
The fiduciary rule we all hear about reminds me of a roller coaster ride: first it seemed imminent after the regulation was initially created under the Obama administration, then President...Read More
Here’s What People Are Saying About State Fiduciary Rules
It’s been a while since the battle between federal fiduciary rule advocates and the financial services industry started. The U.S. Department of Labor rule is designed to oblige financial advisors...Read More
What are the latest views, opinions and outlooks on the end of the DOL Fiduciary Rule?
With the June 13 deadline looming for the DOL to appeal to the Supreme Court and seek permission to argue its case fast approaching; various viewpoints have been mentioned in...Read More
The DOL’s Fiduciary Rule: Where Will We Go Now?
Much has been speculated about the Fifth Circuit Court of Appeals ruling last Thursday to vacate the Fiduciary Rule, perhaps most notably the fact that the decision really only applies...Read More
The Department of Labor’s Fiduciary Rule – Three Issues to Consider if you Advise IRAs
By Guest Bloggers, Robert L. Sichel and Amanda M. Katlowitz of K&L Gates According to the Investment Company Institute, at the end of the first quarter of 2017, assets in IRAs...Read More