DoL

Investigations rarely happen out of the blue — they tend to occur because someone invited investigation. So, what can employers and their service providers do to avoid one?

The temporary ban will remain in place until the SEC posts its final fiduciary rules.

Agents will not pursue any actions against investment advice fiduciaries who are working diligently and in good faith to comply with impartial conduct standards.

With the rescue attempt's failure, all eyes now turn to the SEC which is considering its own proposal for raising financial advisor standards of conduct.

The regulator's proposal is set to remake compliance standards for brokers and advisors.

The regulator's proposal is set to remake compliance standards for brokers and advisors.

New rules would set standards of conduct for brokers, require new disclosures and offer interpretive guidance for fiduciary advisors.

New rules recognize the fact that commission-based transaction services can be the most cost effective way for Main Street investors to receive financial advice.

The Employee Benefit Security Administration is closing fewer civil investigations into 401(k) plans but it’s recovering more money from firms that improperly oversee their employee pension schemes.

The Employee Benefit Security Administration is closing fewer civil investigations into 401(k) plans but it’s recovering more money from firms that improperly oversee their employee pension schemes.