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Search Results for: Fiduciary Rule

Updates on SECURE, RESA, Reg BI, and the Fiduciary Rule

On the heels of seeming confirmation of a fiduciary rule revival comes a barrage of other activity in Washington. Thanks to the efforts of Congress, the Securities & Exchange Commission (SEC), and Department of Labor (DOL), retirement and non-retirement account holders alike could see significant changes coming to the industry. The SECURE and RESA bills, […]

Fiduciary Rule Already Making a Comeback?

Well, here we go again. Last week, Department of Labor (DOL) Secretary Alexander Acosta seemed to confirm the DOL is working to revive the department’s fiduciary rule. Barely a year ago, the previous fiduciary rule was struck down by the 5th Circuit Court. The rule would have required brokers to act in the best interest […]

The Official End of the DOL Fiduciary Rule

Since 2016, the investing industry has anticipated a vastly different post-Department of Labor (DOL) Fiduciary Rule world than that which came before. However, and as we’ve reported, the regulations and guidance have been met with confusion, delay and conflict. Recent attempts to save the Fiduciary Rule, in fact, all failed. And last month, the Fifth […]

Differences between the Advice Rule and the Fiduciary Rule

We recently outlined six things to know about the proposed Advice Rule from the Securities & Exchange Commission (SEC). Today, let’s go a little further and contrast this proposed rule with the Department of Labor (DOL) Fiduciary Rule. Please note that this comparison is very general. With the Advice Rule in its infancy, any differences […]

DOL Fiduciary Rule Enforcement Officially Delayed

When we last left the topic of the Department of Labor (DOL) Fiduciary Rule, it was facing yet another onslaught from Congress. Also, the Securities and Exchange Commission (SEC) discussed pushing a separate fiduciary standard. But even with constant threats of modification, the chance of separate rules and additional attacks by outside parties, the DOL […]

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