The ink is barely dry on two federal courts’ vacatur notices, but the DOL nonetheless has restored the long-standing investment advice rule.

The effective date of the DOL’s new expansive fiduciary rule and the amendments to Prohibited Transaction Exemption (PTE) 2020-02 has been stayed pending the outcome of the lawsuits challenging the ...

Broker-dealers and their registered representatives (advisors) providing services to private sector tax-qualified and ERISA-governed retirement plans, participants in those plans and IRA owners ...

The Department of Labor has several objectives in issuing its latest iteration of the fiduciary rule and one of them is expanding the scope of fiduciary activities, a Washington attorney said. The ...

The Retirement Security Rule and accompanying Prohibited Transaction Exemption amendments, finalized in April, elaborate on differential pay between products offered by advisers and how advisers ...

This month, the Department of Labor’s Prohibited Transactions 2020-02 (PTE 2020-02) went into effect. This regulation increases the fiduciary scrutiny placed on IRA rollovers and other transactions ...

Here’s a discomforting stat. John Faustino, head of Broadridge Financial Solutions’ fiduciary certification and training solutions, reports that about 10%-15% of the firms with whom Broadridge raised ...

TORONTO--(BUSINESS WIRE)--InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced that American Investment Securities Group LLC (AISG), an independent ...

"The challenged regulation wrongly sought to impose ERISA fiduciary status on securities brokers and insurance agents when there was not a relationship of trust and confidence," according to the Labor ...