The Client: ERISA plans/institutional management
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June 13, 2017Are 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.
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June 13, 2017Advisors Weigh in on Personal Meaning of FiduciaryFAs have their own ways of gauging how they adhere to the standard.Last Comment: June 13, 2017
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June 13, 2017Merrill Lynch Faces $25M Settlement Over 401(k) FeesCase involves failure to pass on mutual fund sales fee waivers.No Comments
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June 12, 2017What Does ‘Fiduciary’ Even Mean These Days?For some FAs, an expansion of definition equals an erosion of meaning.Last Comment: June 12, 2017
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June 12, 2017DOL Rule Implementation Leaves FAs No More CertainMany aspects of the rule won’t go into effect until next year and some may not survive the agency’s review.Last Comment: June 13, 2017
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June 9, 2017The DOL's Fiduciary Rule is Here … But For How Long?Advisors are ready for the DOL rule but implementation questions remain.No Comments
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June 9, 2017Edward Jones Backtracks on DOL Rule Commission BanBrokerage to roll out new account option offering mutual funds in commission-based accounts.Last Comment: June 9, 2017
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June 9, 2017How Congress is Trying to Kill the Fiduciary RuleHouse OKs Bill but it’s unlikely to pass the Senate.No Comments
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June 8, 2017DOL Takes First Step to Fiduciary Rule ReviewAgency announces plans to seek public comment on the rule.No Comments
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June 6, 2017What Do Calls for a Joint SEC-DOL Fiduciary Standard Really Mean?
Acting at the behest of the Department of Labor, the SEC last week asked for public input on its role in establishing an industry-wide fiduciary standard. What do you think that's about?
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