Results for "fiduciary"

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Perez assures lawmakers DOL will make fiduciary rule work

June 17, 2015

Secretary of Labor Thomas Perez assured lawmakers Wednesday that the agency is listening to concerns about a controversial investment advice proposal and will “make it work.” In an appearance before a subcommittee of the House Education...

DOL fiduciary rule in crosshairs of new spending bill

June 16, 2015

A House bill introduced Tuesday would stop a Labor Department proposal to change investment advice standards for retirement accounts. Under the House Appropriations Committee measure, DOL would not be able to spend any funds to finalize or implement...

Supreme Court decision in 401(k) case may have profound effect on fiduciary debate

June 12, 2015

If the kitchen wasn't full before, it is now. The U.S. Supreme Court just stirred up the fiduciary standard debate with its recent decision in Tibble v. Edison. For years, the Department of Labor and the Securities and Exchange Commission have...

FSI lays into Labor Department on fiduciary proposal

March 13, 2012

The Financial Services Institute Inc. and the Financial Services Roundtable have upped the volume in their latest exchange with the Labor Department over its plans to expand the fiduciary universe. This time, the advocacy groups are demanding...

Another snafu in DOL's plan to update fiduciary standard

February 17, 2012

Executives at retirement industry organizations were miffed after receiving a letter from the Labor Department this week, giving them until today to tell the agency whether they can provide data on IRAs. The Insured Retirement Institute, The...

Now, Dems iffy about universal fiduciary duty

January 31, 2012

The Securities and Exchange Commission's laggardly pace toward devising a regulation that would apply a uniform standard of care for investment advice suits Sen. Jon Tester, D-Mont., just fine. Mr. Tester, a member of the Senate Banking Committee,...

Financial groups to DOL: Let's talk about IRA request

January 13, 2012

Financial industry groups say they can't fulfill a Labor Department request for information about their members' individual retirement account business until they better understand what kind of material the agency is seeking. .In a letter released...

New fiduciary rule likely to look a lot like the old one

December 8, 2011

Brokers who work with individual investors will likely be able to continue charging commissions and pushing in-house products under a rule being written by the U.S. Securities and Exchange Commission aimed at improving their treatment of clients....

GOP to DOL: Go easy on IRAs, OK?

December 5, 2011

More than four dozen Republican House members sent a letter to the Labor Department today, urging the agency to tread carefully if it includes individual retirement accounts in a new rule that would expand how the term fiduciary is defined for...

Don't expect fiduciary proposal this year: SEC insider

September 19, 2011

While the Labor Department today announced that is starting over on its fiduciary-duty rule, an insider at the Securities and Exchange Commission said the agency likely will delay issuing its new standard of care for broker-dealers. The regulator...

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