Is The Dol Fiduciary Rule Dead Or Alive?
- Mar 19 2018
Since the summer of 2016, this Blog has written about the Fiduciary Rule (the “Fiduciary Rule” or the “Rule”), which the Department of Labor (“DOL”) promulgated in April 2016. (See, …
Category: Fiduciary Rule
FINRA Continues to Focus on Variable Annuities
- Oct 23 2017
Last year was a banner year for fines levied by the Financial Industry Regulatory Authority (FINRA) regarding the sale of variable annuities. In 2016, $30.3 million in fines were assessed …
Update: The Dol Fiduciary Rule Gets Support From Lpl Financial While Congress Continues To Find Ways To Undo The Rule
- Jul 14 2017
On July 13, 2017, Charlotte-based LPL Financial, the largest retail investment advisory firm and independent broker-dealer in the United States, announced that it planned to provide its advisers with a …
