The SEC’s enforcement action comes at a time when the agency has been focusing more specifically on brokers’ and advisers’ interactions with senior investors.
Oral arguments in the consolidated case against the DOL and its fiduciary rule reforms were heard Monday morning by the 5th Circuit Court of Appeals; ERISA attorney Erin...
A federal district court ordered a profit-sharing plan trustee to sell personal real estate to meet restitution requirements, after the trustee failed to ensure proper diversification and liquidity...
The first of two deadlines has passed for the DOL’s information request about a potential second fiduciary rule delay, but the window is still open for advisers to...
Lawmakers requested that the DOL issue an advisory opinion or other appropriate guidance regarding application of ERISA to auto-portability of retirement savings.
The sweeping Financial CHOICE Act is not the only bill being debated in Congress that would impact the ongoing implementation of the DOL fiduciary rule.