The Client: ERISA plans/institutional management
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May 1, 2018Wells Fargo Wouldn't Be Alone Pushing 401(k) Clients into Proprietary ProductsMany record keepers were able to do so prior to the DOL’s fiduciary rule going into effect last summer.No Comments
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April 27, 2018DOL Fiduciary Rule Won’t Die, If AARP and Three States Can Help ItCalifornia, 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
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April 24, 2018DOL Likely Won’t Fight for Fiduciary Rule, Former Exec SaysSEC may have more room to work on its best-interest standard.No Comments
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April 19, 2018Galvin Keeps Heat on Scottrade Fiduciary Rule CaseMassachusetts’ top securities watchdog is trying to block the case from removal to federal court as requested by the firm.No Comments
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April 16, 2018Midterm Wins for Dems Could Lead to More State Fiduciary RulesState fiduciary rules would stand as long as they don’t impact ERISA-governed plans, according to an attorney.No Comments
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April 16, 2018Investor Advocates Are Cautious about SEC Fiduciary RuleOutline for Wednesday’s discussion has components of a strong rule, according to consumer lobby.No Comments
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March 28, 2018NAFA, DOL Drop Appeal Against Fiduciary RuleThe Fifth Circuit decision against the best-interest ruling earlier this month made NAFA’s appeal moot, director says.No Comments
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March 27, 2018FAs Warned: Stay Out of Harm’s WayAre you unknowingly breaching your duty of care?Last Comment: March 28, 2018
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March 21, 2018As DOL Rule is Struck Down, Fears Resurface Over Investor ProtectionIndustry groups could be emboldened to push for a watered-down rule that's mainly about marketing.Last Comment: March 22, 2018
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March 21, 2018Fiduciary Rule’s Court Setback Isn’t End of StoryBut the likelihood of a resurrection of the DOL fiduciary rule is slim.No Comments
