Tag: DoL

A DOL Fiduciary Rule and PTE Refresher

No matter if an adviser is a flat-fee registered investment adviser or a commission-based broker/dealer, the DOL says the collection of compensation related to rollover guidance is almost always going to be a prohibited transaction, triggering the need for an exemption.

Art by Tim Bower

Wanta Be a PPP?

Advisers can find many ways to serve pooled employer plans.

Legislative and Judicial Actions

States updating annuity standards; Senate confirms a Labor secretary; GAO presses the DOL to clarify cybersecurity guidance; and more.

Upcoming Webinar: ESG and ERISA Plans

We will discuss how asset managers are putting environmental, social and governance investing themes to work. Particular attention will be paid to the regulatory environment and the potential to pursue greater investment returns by seeking out companies with higher ESG ratings.