For Once, Two Certainties in DC: New SEC Commissioners, DOL Fiduciary Rule

Waddell, Melanie
September 2015
Investment Advisor;Sep2015, Vol. 35 Issue 9, p63
The article focuses on the Fiduciary September program and the final fiduciary rule of the U.S. Department of Labor (DOL). It notes that the final fiduciary rule will be unveiled by the DOL and commissioners will be installed at the Securities and Exchange Commission (SEC). It says that the program aims to highlight the significance of fiduciary principles in preserving investor trust and confidence in the capital markets.


Related Articles

  • For YOUR Own Good. FESTA, ELIZABETH // National Underwriter / Life & Health Financial Services;10/10/2011, Vol. 115 Issue 19, p30 

    The article reports on the U.S. Securities and Exchange Commission (SEC), planning to design a fiduciary standard to anyone providing personalized investment advice to retail clients. However challenges like costs for small brokers and redefining Employee Retirement Income Security Act (ERISA)...

  • Fiduciary Standard Debate Heats Up. Corbin, Kenneth // On Wall Street;Jun2013, Vol. 23 Issue 6, p18 

    The article focuses on two rulemaking proceedings for 2013 from the Securities and Exchange Commission (SEC) and the Department of Labor (DOL). The DOL proposed ruling for extending fiduciary responsibilities to some retirement plan advisors, it says, could be unveiled in July that could lead to...

  • The Forest for the Trees. Sullivan, John // Investment Advisor;Apr2011, Vol. 31 Issue 4, p14 

    The author reflects on the inquiry in fiduciary responsibility in the U.S. He mentions that the Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) have moved with surprising dexterity concerning the problem. He cites that the Department of Labor (DOL)...

  • DOL out of line. Anderson, Brian // Life Insurance Selling;Aug2012, Vol. 87 Issue 8, p10 

    The article discusses the author's insight on fiduciary which is to be applied by the U.S. Department of Labor (DOL) to retirement plan advisors when enforcing the Employee Retirement Income Security Act (ERISA) of 1974. He argues that the continuation of DOL on updating the definition of the...

  • STATUS UPDATE: SEC, DOL working on fiduciary standard issue from different angles. Anderson, Brian // Life Insurance Selling;Jun2013, Vol. 88 Issue 6, p22 

    The article discusses the development on fiduciary standards by the U.S. Securities and Exchange Commission (SEC) and the Department of Labor (DOL). It mentions that the SEC has requested the financial services industry and the public for comment on changes to standards of financial advisors'...

  • Still Flawed. Carsrud, Judi // Advisor Today;Sep/Oct2014, Vol. 109 Issue 5, p57 

    The article reflects on the impact of U.S. Department of Labor's proposal to regulate retirement planning on middle-income Americans. As per the new rule, financial advisors compensated by commissions will be considered to violate the new fiduciary standard which means that access to financial...

  • AT DEADLINE.  // Pensions & Investments;5/18/2015, Vol. 43 Issue 10, p0001 

    The article reports that the U.S. Department of Labor will give additional time for public comments on its proposed fiduciary conflict-of-interest rule. The U.S. Securities and Exchange Commission is planning to expand its alternatives investment examination program to other alternatives...

  • House Members Push DOL for Fiduciary Rule Details. Manganaro, John // Plan Advisor News;2015, p126 

    The article focuses on an open letter sent by a bipartisan group of U.S. House members to the Department of Labor (DOL) demanding more detail be shared about the ongoing fiduciary redefinition effort. Topics discussed include questions whether or not the DOL is effectively collaborating with the...

  • Don't Be an "Accidental" Fiduciary. Moore, Rebecca // Plan Advisor News;2013, p16 

    The article reports on the U.S. Securities and Exchange Commission's (SEC) plan to issue a uniform fiduciary standard as of June 2013. The U.S. Department of Labor (DOL) plans to redefine fiduciary under the Employee Retirement Income Security Act (ERISA). Matrix Financial Solutions senior vice...


Read the Article


Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics