News & Analysis as of

Fiduciary Rule

Full Implementation Of Fiduciary Rules Extended

by Fox Rothschild LLP on

In April 2016, the Department of Labor issued regulations to expand the definition of “fiduciary” under ERISA and the Internal Revenue Code as applied to those who render investment advice for a fee or other compensation with...more

[Event] 29th Annual Employee Benefits Seminar - September 28th, Dallas TX

by Locke Lord LLP on

Please join the Locke Lord Employee Benefits and Executive Compensation Group for our 29th Annual Employee Benefits Seminar. Our attorneys will provide an overview of current developments related to employee benefit plans....more

The Financial Report, Vol. 6, No. 17

by DLA Piper on

The juxtaposition of items in the financial news is always fascinating. Earlier this week, an article appearing in the Wall Street Journal stated that state legislatures are moving to bolster investor protections due to...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

The Fed’s Open Markets Committee will wrap up meetings tomorrow, and it’s expected [markets be ready] to avoid a rate hike but reveal the beginning of a measured shrinking of the Fed’s $4.2 trillion mortgage/Treasury bond...more

The Department of Labor’s Fiduciary Rule – Three Issues to Consider if you Advise IRAs

by K&L Gates LLP on

According to the Investment Company Institute, at the end of the first quarter of 2017, assets in IRAs and defined contribution plans totalled $8.2 trillion and $7.3 trillion, respectively. Under the Department of Labor’s...more

Financial Services Weekly News - September 2017

by Goodwin on

Editor's Note - The Roundup has been on hiatus since its August 23 edition. Since then, we have had the misfortune to witness the widespread devastation inflicted by Hurricanes Harvey and Irma. Our hearts go out to the...more

WPI Insider Briefing: Post-Labor Day Report

by Littler on

Labor Day once again served as an occasion for many policymakers around the country to focus on laws and regulations governing the workplace. The holiday capped a relatively quiet month in Washington as lawmakers left town...more

DOL Kicks The Fiduciary Rule Further Down The Road

by Ary Rosenbaum on

The Fiduciary Rule is like a bad soap opera where the action takes too long to happen and it’s just stretched out over time making small turns with some end game to happen later down the line....more

Funds Talk: September 2017 - Fiduciary Rule Update – September 2017

The long-anticipated and often-delayed new fiduciary rule under the Employee Retirement Income Security Act of 1974, as amended (ERISA) finally went into effect on June 9, with transition relief blunting its impact until...more

DOL Signals Changes to Fiduciary Rule; SEC Commissioner Calls Rule “Misguided”

The Department of Labor (DOL) has proposed an extension of the transition period of its Fiduciary Rule from January 1, 2018 to July 1, 2019. At the same time, the DOL signaled that significant changes will be made to the...more

DOL Proposes Rule to Extend Applicability Date of BIC and Other Exemptions

by Tucker Arensberg, P.C. on

The Department of Labor published a Proposed Rule to extend from January 1, 2018 to July 1, 2019, the applicability date of the Best Interest Contract (“BIC”) Exemption, the Class Exemption for Principal Transactions in...more

The Final Rule: DOL Proposes to Extend Transition Period until July 1, 2019, and Issues Additional Non-Enforcement Policy for...

By a notice published in the Federal Register on August 31, 2017, the Department of Labor proposed to extend from January 1, 2018, until July 1, 2019, the date for compliance with the full conditions in its new “investment...more

DOL Issues Proposed Delay of Fiduciary Rule Compliance Date and Enforcement Relief

by Morgan Lewis on

The proposal would extend the transition period to July 1, 2019. The US Department of Labor (DOL) has proposed to delay the applicability of additional conditions of the Best Interest Contract (BIC) exemption, Principal...more

DOL Proposes 18-Month Fiduciary Rule Delay; Issues New Guidance

by McGuireWoods LLP on

Last week, the Department of Labor (DOL) announced additional delays to major aspects of its fiduciary rule by proposing to extend certain transition period deadlines and applicability dates by 18 months. If finalized, full...more

DOL Proposes to Defer Full Implementation of its Fiduciary Rule Until July 1, 2019

In April 2016, the U.S. Department of Labor (DOL) adopted a rule that significantly expands the category of persons deemed fiduciaries when providing investment recommendations to most retail retirement accounts (the...more

Department of Labor Proposes 18-Month Delay in Applicability Date for Portions of Fiduciary Rule

by Ropes & Gray LLP on

On August 31, 2017, the U.S. Department of Labor (the “DOL”) published proposed amendments to the Best Interest Contract Exemption and other exemptions that would delay the applicability date of many of the requirements for...more

Window on Washington - This Week in the Nation's Capital - Vol. 1, Issue 24

by Clark Hill PLC on

Hurricane Harvey Could be the Most Expensive Natural Disaster in US History: Republican House members from Texas and Louisiana are pressing congressional leaders and top Trump administration officials for immediate federal...more

DOL Officially Proposes 18-Month Extension of Fiduciary Rule Exemptions’ Transition Period

by K&L Gates LLP on

On Thursday, August 31, 2017, the Department of Labor (DOL) published its proposal to extend the “Transition Period” for the Best Interest Contract (BIC) Exemption and Principal Transaction Exemption from its currently...more

Beltway Buzz - September, 2017

2016 Overtime Rules Invalidated. U.S. District Court invalidates 2016 changes to overtime rules. Steven F. Pockrass has the details here....more

DOL to Postpone Deadline for Fiduciary Rule

by Burr & Forman on

The Department of Labor has received OMB certification, and sought expedited notice-and-comment, for a rule change that would postpone the full implementation deadline for its Fiduciary Rule from January 1, 2018 until July 1,...more

DOL’s Proposed Rule Would Extend the Transition Period for Certain Fiduciary Rule Exemptions to July 2019

Yesterday, the text of a Department of Labor (the “DOL”) Proposed Rule we have been anticipating for several weeks was made available to the public. The Proposed Rule would “extend the special transition period” for certain...more

Department of Labor Officially Proposes Delaying Fiduciary Rule’s Exemptions for 18 Months

On August 30, 2017, the Department of Labor (“DOL”) officially proposed delaying the applicability date of exemptions to its fiduciary rule until July 1, 2019. The proposal was expected after DOL stated in a court filing...more

Labor Department Extends Applicability Date of BIC Exemption and PTE 84-24 an Additional 18 Months

by Carlton Fields on

The Labor Department has proposed extending the applicability date of the Best Interest Contract Exemption, the Class Exemption for Principal Transactions in Certain Assets Between Investment Advice Fiduciaries, and certain...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Q2 saw US growth hit the 3% mark for the first time in two years, besting last quarter’s lackluster showing by almost 2%. The report helped boost stocks across the board....more

The Rosenbaum Law Firm Review - August 2017

by Ary Rosenbaum on

The Plan Providers That A 401(k) Plan Sponsor Needs. A list, all of them. When an employer decides to start a 401(k) plan, one of the biggest problems out there is that they don't know who they need. They know that...more

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