Articles tagged "DOL"
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A veteran of securities law killed his weekend reading all 1,000 pages of the DOL rule -- and has a takeaway to share
Despite reassuring words, the rules steer ill-done-by investors down that dark alley of FINRA arbitrations where complaints go to die
April 13, 2016 at 9:30 PM
How Wall Street emasculated the DOL rule with an old-fashioned end game: 'Somebody made a deal' -- and why tort lawyers are licking their chops
End-game style politics exposed fiduciaries' lack of playoff experience, but RIAs can console themselves because DOL exposed shady dealings on 'the dark side'
April 7, 2016 at 3:10 PM
The DOL's final rule contains a litany of 11th hour concessions to brokers that show Wall Street lobbyists earned their keep
12(b)1 fees, variable annuities and proprietary products are all still allowed and so is partiality in the sales process
April 6, 2016 at 10:00 AM
LPL CEO floats orphaning 3% of its brokerage business in prelude to DOL 'travesty'
Mark Casady says he may lop off brokerage accounts of $15,000, citing looming rule changes
October 30, 2015 at 6:28 PM
Capitalizing on 'unintended consequences' of DOL changes, Ken Fisher pounces on a fat-margin 401(k) opportunity
DOL greased the skids for closed-architecture approach of $60-billion RIA -- as long as it is discloses use of proprietary funds and sets flat fees that apply to them
October 15, 2015 at 5:28 PM
Report: 'Brother-in-law' dabblers are giving 401(k) ground slowly to specialists in $1.3 trillion market
Some RIAs disagree with Cerulli's pessimism and say DOL is having its effect with small employers seeking real experts to provide 401(k)s to employees
September 17, 2015 at 6:36 PM
LPL will launch third-party robo for advisors and eliminate some fees
Dan Arnold laid it on the line: LPL is being disrupted but taking the challenges head-on
July 27, 2015 at 5:28 PM
Why exactly DOL's latest action is so shocking to so many brokers -- and even ERISA lawyers -- despite years of warnings
Brokers managing IRA assets never imagined they'd need to make a written promise to do right by investors
April 20, 2015 at 5:42 PM
LPL reconsiders FSI as it drops out of its board, offers own DOL stand and hires own lobbyist
The giant IBD-custodian breaks from Financial Services Institute pack with pro-DOL statement as FSI posts more negative view on Labor Dept.'s 'fiduciary' definition
April 16, 2015 at 3:19 PM
Where Barbara Roper and Ron Rhoades lose traction in their fiduciary arguments
Lay fiduciary decision-makers have difficulty in discerning conflicts of interest.
March 2, 2015 at 6:19 PM
Why Obama and the DOL are all wet when it comes to the proposed fiduciary rule
Stress the carrot and not the stick in formulating a rule that will get real results, says a fiduciary maven
February 26, 2015 at 5:54 PM
'Paradigm shift' in 401(k) flows opens the DOL door for annuities in 401(k) plans and RIAs are split
In the wake of DOL and Treasury rulings, some fiduciaries, certainly not all, seem willing to give the oft-reviled instruments a chance
October 28, 2014 at 6:27 PM
Why I use target date funds for some 401(k) clients in my RIA but with exaggerated scrutiny and care
The set-and-forget products have enormous potential for good but may also be a fiduciary nightmare
March 21, 2014 at 4:29 PM
The trusteed IRA: One tested method to maintain assets under management through the generations
A probate attorney, a trust exec and a Harvard B-school student float a solution to persuade family members to stay the course
January 10, 2014 at 6:30 AM
Why a reputation of shadiness persists in the financial advisory industry
Quite literally the truth never sees the full light of day -- and clients and quality advisors pay a price for it
