Tag: Investment advice

ERISA specialist Erin Sweeney recently attended a key hearing in one of the five ongoing pieces of litigation filed against the DOL fiduciary rule reforms; she offers an...

'The DOL Advisor Toolkit' provides tools that will guarantee advisers act in compliance with the new fiduciary rule.

A new proposed class action lawsuit suggests two providers were less than forthcoming about the real breakdown of advisory fees and underlying service arrangements. 

Even registered investment advisers, who have been acting as fiduciaries, will be impacted by the new rule.

The SEC adopted new final rules to enhance information reported by registered investment advisers under Form ADV. 

The agency defends its authority to issue a new rule and to extend provisions of the rule to IRAs.

The DOL published a pretty substantial list of technical corrections to the Best-Interest Contract Exemption—including mostly minor clarifications but also a few potentially substantial adjustments. 

According to LIMRA LOMA Secure Retirement Institute, nearly three in four DC plan providers believe they will need to train their employees about the new DOL fiduciary rule. 

The Securities and Exchange Commission is proposing a new rule and rule amendments under the Investment Advisers Act of 1940 aimed at bolstering advisory industry succession planning. 

The firm will hold both local events and webcasts featuring its own and outside experts.

Litigation is the main concern for DC plan sponsors right now.

Two national insurance advocacy groups have “reluctantly” joined the growing list of plaintiffs asking the federal courts to declare the DOL’s new fiduciary rule arbitrary and capricious. 

Could Google one day be a top provider of investments or financial advice? What about Facebook, or Amazon? 

A new report from The Pew Charitable Trusts lends some support to the arguments many providers have raised against the increasing prevalence of state-based retirement plans for the...

A coalition of national financial and business trade groups has filed a lawsuit to strike down the DOL’s new regulations that will require most brokers and investment consultants...

Enthusiasm about environmentally responsible investing has bloomed in the wake of recent DOL rulemaking, but a new TIAA survey shows a knowledge gap persists. 

High-performing advisers at the J.P. Morgan DC Summit in New York widely hope the government will make retirement savings mandatory for at least some segments of the working...