DOL Fiduciary Rule

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Highlights

Consumer Advocates Call for Longer DOL Fiduciary Rule Comment Period

Jul 08, 2020

The Consumer Federation of America, AFL-CIO, Financial Planning Association and others wrote a letter to the Labor Department calling for...

DOL Rule's Rollover Exemption a Surprise. But Is It Enforceable?

Jul 01, 2020

Some retirement experts expressed surprise that the DOL's proposed exemption for fiduciaries included any...

DOL Reveals Revised Fiduciary Rule

Jun 29, 2020

The Department of Labor said the proposed rule would align with the SEC's Regulation Best Interest, while...

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Transparency Is in the Clients’ Best Interest

Sep 10, 2018

To act in the best interest of your clients you need to have a clear understanding of their overall financial picture and their financial behavior.

Why the Fiduciary Rule Still Matters for Financial Advisors

Aug 24, 2018

Although the fiduciary rule is dead, its spirit and intent will live on.

Opinion: Fiduciary Duties Need to Extend to Research

Jun 14, 2018

The SEC’s best interest proposal fails to consider the foundations upon which investment recommendations are made—conflict-free securities research.

Ding Dong—the Fiduciary Rule Is Officially Dead

Jun 14, 2018

The DOL didn’t exercise the last legal recourse it had to defend the controversial rule, effectively ending the short life of the Obama-era regulation.

Opinion: “Fiduciary”—An Attitude, Not a Law

Jun 13, 2018

Both the DOL and the SEC turned a concept that is simple enough to be captured in a fortune cookie into an indecipherable...

Fifth Circuit Again Denies States' Attempt to Intervene in Fiduciary Rule Case

May 22, 2018

For the second time, a three-judge panel ruled against the state attorneys general of New York, California and Oregon to...

California Attorney General Xavier Becerra

States Ask Fifth Circuit to Reconsider DOL Rule Intervention Decision

May 17, 2018

The attorneys general of New York, California and Oregon are not giving up their fight to save the fiduciary rule just yet.

Last-Ditch Efforts by AARP, States to Save Fiduciary Rule Fail

May 02, 2018

The Fifth Circuit Court of Appeals will not grant AARP’s and states’ requests to rehear the case against the DOL fiduciary rule.

DOL Rule One Step Closer to Death

May 01, 2018

The DOL missed the deadline to file for a rehearing in the Fifth Circuit Court of Appeals, meaning the Court’s decision to vacate the fiduciary rule stands.

AARP, States Fight to Keep DOL Rule Alive

Apr 26, 2018

The consumer group, along with the attorneys general of California, Oregon and New York, are seeking a rehearing by the Fifth Circuit, which vacated the DOL fiduciary rule.

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