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| Merrill Lynch Signals More Flexibility in Fiduciary Rule Response |
| The firm has consistently been an early mover in announcing fiduciary rule implementation plans—and that trend continued this week with the news that ML advisers will retain some access to commission-based IRAs.
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| DOL Announces Fiduciary Responsibilities Seminar in Illinois |
| The seminar will be held in Springfield, Illinois, on June 21.
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| Varying Fees |
| Can an adviser charge different fees for different investments in a retirement plan? ERISA attorneys Fred Reish and Joan Neri ask, how do current ERISA standards treat this question, and how might that change in the near future?
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| Fiduciary Rule Litigation Still Matters |
| The DOL’s authority to regulate the financial services industry is separate from the authority conferred on the Securities and Exchange Commission, Financial Industry Regulatory Authority and state insurance, and other, regulators. Notwithstanding the potential conflicts and overlaps, the courts appear to believe that the DOL and other regulators can co-exist and effectively regulate together.
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| Assessing Independence |
| Many advisers would rather venture on their own than affiliate with a B/D, and the current regulatory environment is only adding to the pressure.
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