Home Tags DOL

Tag: DOL

Massachusetts Solicits Preliminary Comments on Proposed Fiduciary Rule

The Massachusetts Securities Division plans to enter the state fiduciary rulemaking ring and is seeking preliminary comment on a proposed regulation that would apply...

FSI Comments on New Jersey’s Proposed Fiduciary Rule

The Financial Services Institute, a trade group representing independent financial advisors and financial services firms, has submitted a 12-page comment letter to the New...

SEC Approves Investment Advice Rule Package

On Wednesday, the Securities and Exchange Commission voted 3-1 along party lines and approved its four-part package of regulations aimed at reforming investment advice...

DOL to Propose New Fiduciary Rule in December, SEC to Vote...

The Department of Labor plans to introduce a propose a new fiduciary rule in December 2019 after the previous version was vacated by the...

Secretary Acosta Says DOL Will Release New Fiduciary Rule in Conjunction...

Labor Secretary Alexander Acosta told the House Education and Labor Committee on Wednesday that the Department of Labor is planning to revive its fiduciary...

New Jersey Proposes Fiduciary Rule

The New Jersey Bureau of Securities has proposed a new fiduciary regulation that requires all registered financial services professionals in the state to be...

Edelman Financial Engines Appoints DOL Fiduciary Rule Architect Phyllis Borzi to...

Edelman Financial Engines, a registered investment advisor with $200 billion in client assets, has appointed Phyllis Borzi to its board of directors. Borzi, who...

SEC Releases Investor Testing Report on Proposed Form CRS Relationship Summary

To help address investor confusion about the nature of their relationships with investment advisers and broker-dealers, the SEC’s Office of the Investor Advocate has...

SEC Investor Advisory Committee to Hold Public Call on Regulation Best...

The Securities and Exchange Commission’s investor advisory committee will hold a public conference call next month to discuss its proposed Regulation Best Interest and...

DOL to Introduce Fiduciary Rule in September 2019

The Department of Labor plans to introduce a revised final fiduciary rule in September 2019 after the previous version was vacated by the Fifth...