Two federal courts in Texas have separately ordered stays delaying the effective date of the Department of Labor’s (DOL) final “investment advice fiduciary rule” under Section 3(21) of the Employee Retirement Income Security...more
On October 31, 2023, the U.S. Department of Labor (DOL) released proposed amendments to the regulations under Section 3(21) of the Employee Retirement Income Security Act of 1974 (ERISA) to the definition of an “investment...more
On April 4, 2017, the Department of Labor (DOL) released its final rule providing a 60-day delay of the April 10, 2017, applicability date of its conflict of interest regulation (the so-called fiduciary rule) and related...more
4/7/2017
/ Best Interest Contract Exemptions ,
Broker-Dealer ,
Conflicts of Interest ,
Delays ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Fiduciary Rule ,
Final Rules ,
Investment Adviser ,
Prohibited Transactions ,
Repeal ,
Retirement Plan ,
Trump Administration
The Department of Labor (DOL) recently issued guidance on the Conflicts of Interest Rule it released earlier this year. The guidance, issued on October 27, 2016, is in the form of answers to frequently asked questions, which...more
11/8/2016
/ Audits ,
Best Interest Contract Exemptions ,
Compliance ,
Conflicts of Interest ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Executive Compensation ,
Financial Adviser ,
Individual Retirement Account (IRA) ,
Internal Revenue Code (IRC) ,
Investment Adviser ,
New Guidance ,
Prohibited Transactions ,
Retirement Plan