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The Client: ERISA plans/institutional management


  • July 20, 2017
    Bill to Kill DOL Rule Moves to House Floor
    The House Committee on Workforce and Education moves to replace the fiduciary rule with a best-interest standard.
    Last Comment: July 21, 2017
    4 Comments
  • July 14, 2017
    DOL Rule Assault Comes From All Quarters
    Flurry of activity points to “soft repeal” through courts and Congress.
    Last Comment: July 14, 2017
    1 Comment
  • July 13, 2017
    GOP Lawmaker Submits Bill to Kill DOL’s Rule
    Legislation would replace DOL’s fiduciary rule with best interest standard for retail advice brokers.
    Last Comment: July 13, 2017
    2 Comments
  • July 11, 2017
    Is the DOL Backing Down on its Fiduciary Rule?

    Last week, in the 5th Circuit Court of Appeals, the DOL filed papers effectively dropping its defense of the fiduciary rule’s class-action lawsuit provision. While the department insists it will defend the rule against an onslaught of legal attacks, is this nonetheless a sign the DOL's support for the rule is diminishing?

    No Comments
  • July 6, 2017
    DOL Rule Opens More FAs to Negligence Claims
    A higher standard of care means more openings for regulatory and court cases.
    Last Comment: July 10, 2017
    5 Comments
  • July 5, 2017
    DOL Urges Court: Uphold Fiduciary Rule Despite Review
    Government’s brief nonetheless calls for vacating the rule’s anti-class-action provision.
    No Comments
  • June 27, 2017
    LPL Bars Brokers from 401(k) Rollover Advice
    Hybrid advisors acting in a brokerage capacity will only be able to provide education on rollovers.
    No Comments
  • June 13, 2017
    Are Clients Now Asking About the Fiduciary Rule?

    After a bumpy ride — and more sure to come — the Department of Labor's fiduciary rule finally rolled out for partial implementation last Friday. But do clients know or care about the definition of a fiduciary, new disclosure rules or best interest contract exemption forms? Have you had any queries from your clients about any of these things? Give us specifics in the comments section.

    Last Comment: June 13, 2017
    1 Comment
  • June 13, 2017
    Advisors Weigh in on Personal Meaning of Fiduciary
    FAs have their own ways of gauging how they adhere to the standard.
    Last Comment: June 13, 2017
    2 Comments
  • June 13, 2017
    Merrill Lynch Faces $25M Settlement Over 401(k) Fees
    Case involves failure to pass on mutual fund sales fee waivers.
    No Comments
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