The Client: ERISA plans/institutional management
-
June 18, 2018Merrill Lynch Mulls Reversing Ban on Commission-Based Retirement AccountsThe wirehouse’s brokers welcome the review, although some say it could be embarrassing to explain to clients.No Comments
-
June 14, 2018Clock Runs Out on DOL Appeal to Supreme Court on Fiduciary RuleMeanwhile, a government watchdog slams the agency on failing to provide records on the roll-back of its best-interest rule.No Comments
-
May 24, 2018Appeals Court Again Denies Bid to Save DOL Fiduciary RuleFifth Circuit Appeals Court stands by its refusal to let state AGs intervene.No Comments
-
May 21, 2018Three States Continue the Fight to Save DOL’s Fiduciary RuleCalifornia, New York and Oregon ask Fifth Circuit Court to reconsider its refusal to let them in on a lawsuit challenging the best-interest rule.No Comments
-
May 14, 2018DOL’s Fiduciary Rule is Still in Effect, Lawyer WarnsThe Fifth Circuit court was expected to issue an order vacating the rule May 7 but has yet to do so.No Comments
-
May 14, 2018Scottrade Pushes Back on Galvin’s Fiduciary Rule CaseCompany’s lawyers argue the Massachusetts securities regulator is the only one who believes the rule exists.No Comments
-
May 8, 2018DOL Refuses to Drop Fiduciary Rule, But Won’t Pursue ViolationsAgency provides guidance in response to expected issuance of a mandate from appeals court vacating the rule.Last Comment: May 8, 2018
2 Comments -
May 3, 2018Fifth Circuit Rejects Attempts to Save Fiduciary RuleMeanwhile, SEC boss touts commissions’s proposal for a best interest regulation.No Comments
-
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
-
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
1 Comment
