Browsing Tag
401(k) Fiduciary Rule
102 posts
The 401(k) Fiduciary Rule is a U.S. regulation requiring financial advisors and plan sponsors who manage or recommend retirement accounts to act in the best interests of participants. It holds them to a fiduciary standard, meaning they must avoid conflicts of interest, provide prudent investment advice, and prioritize clients’ financial well-being over their own compensation.
N.J. Proposes ‘Tougher than Reg BI’ Fiduciary Standard
Proposed New Jersey rule would establish a uniform fiduciary standard requiring broker-dealers and investment advisors to put investors' interests first.
Why the SEC Will Never Enact a Meaningful Fiduciary Standard
I continue to enjoy reading analyses on the SEC’s Best Interest proposal. These are analyses from industry leaders,…
What The SEC’s Proposed Rule Means For 401(k) Plan Sponsors
Anyone who hoped the Securities and Exchange Commission (SEC) might do the right thing and issue a uniform…
Fake News Hits Fiduciary Fight
Fake fiduciary rule comments raise concerns as investigative reports uncover fraudulent postings on federal websites.
One Major Fiduciary Rule Criticism Doesn’t Hold Up
Fiduciary Rule protects retirement savers from conflicted advice, ensuring fair access to investments and stronger financial security.
Further Fiduciary Rule Delays Will Cost How Much?
Fiduciary Rule Delay Costs could reach $7.3B, adding to retirement saver losses from prior delays, warns Economic Policy Institute.
DOL Wants Info on Fiduciary Delay (Seriously)
Fiduciary Rule Delay sparks new RFI as the Department of Labor seeks input on revisions and possible changes to exemptions.
Fiduciary Frustration Finds Audience in 401(k) Advisors
“I’ve been in a room with Phyllis Borzi where she said 90 percent of all rollovers were imprudent,”…
House Republicans Pass ‘Choice’ Act, Block Fiduciary Rule
One of the most sweeping financial regulations in recent history took a step closer to destruction on Thursday,…
How the DOL Created a 401(k) Fiduciary Monster
Fiduciary Rule Deregulation sparks debate as Eugene Scalia challenges Labor Department’s authority over IRAs and financial professionals.