DoL

"Maybe commissions aren’t so evil after all?"

In the wake of the DoL fiduciary rule, documenting client profiles and recommendations boosts compliance.

Survey shows advisors accept fiduciary mindset but do not see major impact on product choices yet.

Financial advisors can still be held liable for violating impartial conduct standards even though the fiduciary rule has been delayed until 2019.

Variable products suffered their worst quarter in two decades, while fixed contracts also declined.

The regulation's enforcement provisions will not take effect until July 1, 2019, the Labor Department said.

Secretary Alexander Acosta told lawmakers that the department will pursue actions against advisors and firms for egregious best-interest advice violations.

A group of attorneys raises concerns about extensive industry ties among FINRA’s public board members.

Harmonizing a potential SEC regulation with that of the Labor Department is tricky business, experts say.

Clients using FundKeeper can open new accounts, perform automated suitability checks and support level load funds under a single platform.

Nov. 6: Platforms like FundKeeper are aimed at helping retirement account advisors comply with the DoL’s fiduciary rule.

The department's proposal furthers efforts to undo the controversial regulation.

New solutions offer plenty of features but lack focus.

Speaking to hundreds of industry executives, Jay Clayton said his agency can't simply supplant the Department of Labor.

The independent broker-dealer’s executive team hopes the SEC works with the DoL to develop an industry standard.

Borrowing against the value of one’s 401(k) is a great way to ride out a low-yield environment, right? Think again.

The products protect clients against losses, but significant caveats emerge in the fine print.

Chairman Jay Clayton says the regulator is drafting a rule proposal to harmonize standards for brokers and advisors.

Asset managers are still guessing how clean shares will fare under the new regulation.

Sept. 25: Changes the DoL regulation has inspired — particularly in the mutual fund industry — are moving ahead, albeit slowly.