Tag: DoL

SEC Chair Gary Gensler says her focus as a senior adviser will be on issues relating to retail investor protection, including broker and adviser oversight and examinations.

The language of the regulation has not yet emerged, but the title published by the Department of Labor suggests it will address both ESG and proxy voting matters.

Industry experts are watching for the imminent filing of new Department of Labor regulations pertaining to the use of environmental,...

The agency clears up timing questions in a FAQs document and says it realizes the concerns about timing if its...

A subsidiary of TIAA will settle conflict of interest charges related to the provision of rollover advice to employer-sponsored retirement...

The requirement to produce requested documents and the definition of relevant documents addressed in a DOL information letter applies to...

No matter if an adviser is a flat-fee registered investment adviser or a commission-based broker/dealer, the DOL says the collection...

Attorneys have confirmed that the DOL has begun an audit initiative and is asking for a broad range of cybersecurity...

The firm is experiencing a surge in B/Ds and RIAs requesting assistance with the new rule as the enforcement date approaches. 

President Joe Biden seems to want to pave the way for more environmental, social and governance investing in retirement plans.

Drawing on their collective decades of experience working inside and outside the DOL, a panel of expert ERISA attorneys convened...