Tag: Department of Labor (DOL)

The agency clears up timing questions in a FAQs document and says it realizes the concerns about timing if its...

A subsidiary of TIAA will settle conflict of interest charges related to the provision of rollover advice to employer-sponsored retirement...

The requirement to produce requested documents and the definition of relevant documents addressed in a DOL information letter applies to...

No matter if an adviser is a flat-fee registered investment adviser or a commission-based broker/dealer, the DOL says the collection...

Attorneys have confirmed that the DOL has begun an audit initiative and is asking for a broad range of cybersecurity...

The firm is experiencing a surge in B/Ds and RIAs requesting assistance with the new rule as the enforcement date approaches. 

President Joe Biden seems to want to pave the way for more environmental, social and governance investing in retirement plans.

The legislation, which follows a year of back-and-forth on ESG investing, would amend ERISA to make it clear that plans...

Drawing on their collective decades of experience working inside and outside the DOL, a panel of expert ERISA attorneys convened...

The guidance published by the Department of Labor reminds the industry that boilerplate, fine print disclaimers that investment advice is not being provided won’t cut it.

The guidance, which is the first of its kind, includes best practices and tips for protecting retirement benefits.

He takes the helm at the Securities and Exchange Commission during a key time of transition and reflection for the...

This is meant to help retirement investors, employee benefit plans and investment advice providers.