Advisers Compliant with Reg BI are Compliant with Fiduciary Rule, EBSA Says
Ali Khawar added that insurance agents should be knowledgeable of the assets a client is giving up to buy an...
Tag: Retirement Security Rule
DOL Issues Final Retirement Security Rule
The much-anticipated fiduciary rule brings retirement plan advisement, one-time rollovers and annuity recommendations under ERISA.
Managing Fiduciary Conflicts in the Age of Convergence
ERISA expert David Kaleda discusses what the DOL’s proposed Retirement Security Rule may mean for retirement and wealth management firms.
The Expansive Reach of the DOL’s Proposed Fiduciary Rule
ERISA experts Fred Reish and Joan Neri answer a question and provide detail on the department's proposed retirement security rule.
TIAA Subsidiary Settles With SEC for $2.2M on IRA Recommendation Charge
TIAA-CREF Individual and Institutional Services settled charges of failing to comply with Regulation Best Interest.
A System to Protect Workers’ Retirement Assets Already Exists
The co-founder and head of advisory Francis LLC responds to pushback on the DOL’s fiduciary rule proposals by calling for...
50 House Reps Push Back On DOL Fiduciary Proposal
Bipartisan group urges DOL to ‘withdraw and cease efforts’ to move ahead with retirement security rule targeting annuities and one-time...
Would DOL’s Fiduciary Proposal Help or Hinder Coverage Gap?
Dissenters say the DOL’s proposed amendments would reduce access to needed retirement products.
Fiduciary Rule Proposal Faces 1st Day of Dissent, Advocacy
The DOL’s Retirement Security rule is seen as overbearing by some, necessary by others.
EBSA Denies Comment Period Extension for Fiduciary Proposal
The regulator pushed back on industry requests to extend comment time for the controversial proposal; the period will still end...
Advisers Selling Product, Not Process, in Fiduciary Rule Crosshairs
Experts discuss the ripple effect of the Department of Labor’s proposed fiduciary rule amendments.
DOL Publishes New Adviser Fiduciary Rule for Public Comment
The proposal would make one-time advice for rollovers subject to ERISA.