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In its comment letter to the DOL regarding the fiduciary rule, compliance support provider Dalbar submitted a proposed Sales Professional Exemption its CEO Louis Harvey says could work.

How one broker-dealer and registered advisory, USA Financial, is dealing with the uncertainty over DOL fiduciary rule compliance.

Consolidation in the brokerage industry continues to be a strong trend, as increasing complexity and an aging broker demographic combine to work against small, independent shops.

As firms seek to lower their risk from the DOL rule, executives at managed account firms are looking for ways to limit the discretion of advisors.

What plan sponsors want and what advisors are confident about providing aren't the same thing, a new study finds.

Mark June 9, 2017 on your calendar. That's the day the lowly IRA entered the retirement plan big leagues. Previously, IRAs had significantly less regulatory oversight than ERISA plans. But with the redefinition of fiduciary in the DOL's conflict-of-interest (aka, fiduciary) rule, IRAs now fall under the ERISA regulatory umbrella.

Consolidation in the brokerage industry continues to be a strong trend, as increasing complexity and an aging broker demographic combine to work against small, independent shops.

The 5th Circuit Court of Appeals may prove to be the venue most favorable to the plaintiffs' claim that the DOL exceeded its statutory authority in crafting the fiduciary rule. Here's why.