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Searching Content indexed under Retirement, Superannuation & Pensions by Hillel Cohn ordered by Published Date Descending.
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First State Charges Broker-Dealer In Connection With Violations Of DOL Fiduciary Rule
On February 15, 2018, the Enforcement Section of the Massachusetts Securities Division (the "Division") of the Office of the Secretary of the Commonwealth charged a registered broker-dealer ...
United States
21 Feb 2018
2
DOL Proposes To Defer Full Implementation Of Its Fiduciary Rule Until July 1, 2019
On August 31, 2017, the DOL published a proposal to defer full implementation of the Fiduciary Rule until July 1, 2019.
United States
11 Sep 2017
3
Does A Proposal For Further Delay In Implementation Of The DOL Fiduciary Rule Suggest Major Changes Are Coming?
On August 9, 2017, the U.S. Department of Labor (DOL) submitted to the Office of Management and Budget (OMB) a proposal to delay until July 1, 2019...
United States
21 Aug 2017
4
Implementing The DOL Fiduciary Rule
On June 9, 2017, key provisions of the fiduciary rule adopted by the Department of Labor (DOL) will become applicable for most broker-dealers...
United States
12 Jun 2017
5
Living With The DOL Fiduciary Rule: Be Prepared For The June 9 Implementation Date
The first phase of the Department of Labor's ("DOL") new fiduciary rule ("Fiduciary Rule") is scheduled to be implemented on June 9, 2017.
United States
31 May 2017
6
DOL Fiduciary Rule Delayed By 60 Days
Late in the day on April 4, 2017, the Department of Labor ("DOL") made publicly available its final rule...
United States
12 Apr 2017
7
President Trump Directs DOL To Review The Fiduciary Rule And Consider Modifications Or Revocation
On February 3, 2017, President Trump directed the Department of Labor ("DOL") to review the fiduciary rule adopted in April 2016 (the "Fiduciary Duty Rule") and consider whether the Fiduciary Duty Rule...
United States
15 Feb 2017
8
Implications Of The DOL Fiduciary Rule For Structured Products
On April 6, 2016, the Department of Labor ("DOL") issued its final conflict of interest regulations, which significantly expand who is considered a fiduciary when dealing with a retirement account.
United States
16 May 2016
9
Structured Thoughts: News For The Financial Services Community, Special Issue
On April 6, 2016, the Department of Labor issued its final conflict of interest regulations, which significantly expand who is considered a fiduciary when dealing with a retirement account.
United States
9 May 2016
10
Final Department Of Labor Fiduciary Regulations Under ERISA
DOL issued its long-anticipated final regulation defining who is a fiduciary as a result of giving investment advice to plans subject to ERISA, to participants or beneficiaries of these plans, or to IRAs.
United States
14 Apr 2016
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