Articles tagged "Department of Labor"


HeadlinePublish date

Phyllis Borzi tightens the noose on 401(k) providers that flout DOL disclosure, not without critics

The idea is to have a de facto big red arrow pointing to key disclosures on revenue sharing but it'll add to the verbiage surplus

March 11, 2014 — 9:04 PM UTC

What to make of a fiduciary flag-bearer's alleged misappropriation of $5 million from clients -- and his denial of the charges

Arrest of Matthew Hutcheson raises questions about the fiduciary movement

May 10, 2012 — 5:09 AM UTC

Proposed DOL regs expose more advisors to fiduciary liability

Language of rules amounts to better ammo for lawyers

October 22, 2010 — 6:17 AM UTC

Regulatory Wire: former SEC chairs slam financial services reform

Plus, DOL's new webinar on 401(k) compliance; the SEC speaks on target date funds; and questions about Stoneridge

June 18, 2010 — 5:17 AM UTC

Regulatory Wire (Updated): To create a successful new regulatory regime, the biggest fears of both broker-dealers and advisors must be assuaged

Plus, a DOL administrator offers hints of new 401(k) regulations to come this fall

May 14, 2010 — 5:38 AM UTC

IRA assets could be ripped from the grasp of brokers if DOL has its way

With brokers disqualified, fee-only advisors may have 'phenomenal' opportunity to dominate $4.1 trillion IRA market

March 4, 2010 — 6:47 AM UTC
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