Tag: DoL

Everyone is initially eligible for the DOL’s new prohibited transaction exemption, though the regulator reserves the right to suspend eligibility for up to 10 years after certain violations.

This makes its new prohibited transaction exemption all the more important, according to attorneys with Groom Law Group.  

The final rule confirms the reinstatement of the traditional five-part test for determining fiduciary status, though it does not definitively state that advice regarding IRA rollovers necessarily triggers...

The final regulation includes delayed compliance dates to January 31, 2022, for certain recordkeeping and proxy voting requirements.

The agency has also highlighted important modifications to the form.

The sense of déjà vu associated with the filing of a finalized fiduciary rule by the Department of Labor is palpable, but one ERISA expert says this version...

The rule implements the registration requirements for PEPs pursuant to the SECURE Act

With the Democratic nominee leading polls over the past several months, investors have had ample time to consider the potential impacts of a Biden administration, sources say.

The final version of the regulation emphasizes the importance of using only ‘pecuniary’ factors in the assessment of investment options within tax-qualified retirement plans, rather than expressly limiting...

Retirement plan advisers were given ideas to consider and actions to take in response to new legislation, regulation and litigation.

Reg BI, a new fiduciary rule proposal from the DOL and state-enacted fiduciary rules—what advisers should keep in mind.

As with its guidance related to environmental, social and governance investing, the Department of Labor’s stance on proxy voting and other forms of retirement plan investor shareholder rights...