Tag: Department of Labor

PANC 2020: Conflict Ahead

Reg BI, a new fiduciary rule proposal from the DOL and state-enacted fiduciary rules—what advisers should keep in mind.

Proxy Voting Update on DOL Agenda

The DOL is aiming to "modernize fiduciary practices related to the voting rights associated with ERISA plan investments and harmonize those regulations with the requirements of other regulators.”

Legislative and Judicial Actions

FINRA Share-Class Sweep Highlights Importance of CooperationThe Financial Industry Regulatory Authority (FINRA) announced the final results of its mutual fund waiver initiative—the agency’s aggressive multiyear effort to ensure member...