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Articles tagged "DOL rule"


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Sean Sullivan: A partner must have a deep understanding of the 401(k) industry.

LPL Financial bristles about proposed DOL rule, but roaring recruiting, including of 401(k) advisors, bodes well for 2024, according to top LPL executives

The Fort Mill, S.C., broker-dealer -- and recordkeeper -- is making strong pitch to 401(k) advisors with retirement plan expertise and rollover 'tool kit' of services.

February 3, 2024 at 3:07 AM

Jason Roberts: The outcome of the advice rule is exactly what we had in 2016, but they just wrote it in a creative way.

Loaded with teeth and better crafted, the latest 'DOL Rule' attracts 19,000 comments -- and SIFMA, Charles Schwab Corp and Fidelity wrote words by the thousands in fierce opposition

Last time around, in 2016, federal regulators imposed a very RIA standard on brokers and insurance agents but it failed in court; now, the DOL is determined to avoid that mistake again, ERISA lawyer says.

January 6, 2024 at 3:52 AM

Jason Roberts: There were lessons learned during the last rulemaking that may expedite some of the drafting and/or avoiding.

The Labor Dept. will publish the proposed 'Biden' DOL Fiduciary Rule (likely) next week, it says, but today it de-fanged the Trump ESG prohibitions

Two years after President Biden took office, the federal agency is ready to unleash a centrist DOL rule that eviscerates Trump's influence but stops short of Obama's stringent proposal.

November 23, 2022 at 2:15 AM

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