DOL Fiduciary Rule

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Oct 16, 2019

Colorado Firm With $200 Million in AUM Joins LPL

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Gold in 2019 and Beyond

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Highlights

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...

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...

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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 instruction manual. It’s time to re-simplify what a fiduciary is.

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 intervene in the case against the DOL fiduciary rule.

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...

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...

U.S. States Eye Protections for Investors if Federal Regulation Falters

Apr 12, 2018

The quality of retirement investment advice available to investors could well come down to where they live.

The Fiduciary Standard Is Still Evolving

Mar 27, 2018

There’s continuing confusion surrounding who will bear what burden.

The Fiduciary Standard Has Already Been Set

Mar 16, 2018

Industry executives and experts say we will continue down the road toward a fiduciary standard, regardless of the court’s decision.

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