SEC initiates comment period on fiduciary rule

By Joe Mont2017-06-02T10:00:00

Critics of the Department of Labor’s controversial “fiduciary rule” say it should instead be promulgated by the SEC. Now, for the first time in years, the Commission has launched a public comment process on the matter.

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Article
Amid uncertainty, SEC entrance into Fiduciary rule saga takes shape

2017-11-14T11:45:00Z By Joe Mont

While the Labor Department’s Fiduciary rule for investment advice remains uncertain amid lawsuits and Congressional attacks, the SEC prepares to issue its own version.
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Another delay in fiduciary rule could result in substantial revision

2017-08-22T09:15:00Z By Joe Mont

The Labor Dept. wants a substantial delay for remaining compliance milestones in its fiduciary rule. What happens in the interim?
Article
SEC ponders public comments as fiduciary rule takes root with overseers

2017-06-27T09:30:00Z By Joe Mont

While the Labor Department and SEC are headed for a showdown over a fiduciary duty rule, another player has entered the mix: the CFP Board.

“For tracking litigation, enforcement, and regulatory developments, Compliance Weekshould be your prime source.”

SEC initiates comment period on fiduciary rule

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