Elizabeth MacBride

Great article. Unfortunately, the link to the proposed regulation is broken.

Hmm, you’re right. Looks like the PDF was taken down — a Google search reveals that many others who had linked to it now have broken links as well. If we can find it again we’ll put it back up. Nevin

Okay, link has been changed to our own hosted version of the file. Thanks Rickard for pointing this out!

Nevin

Proposed DOL regs expose more advisors to fiduciary liability

Phyllis Borzi: If it gets rid of schlocky advice, that’s okay with me.

TowerGroup

DALBAR

Department of Labor

CFDD

Sean Cunniff

Louis Harvey

Phyllis Borzi

Phil Chiricotti

The past two years have been some of the most momentous in the relatively short history of the RIA profession. Legislators and regulators have been gradually embracing the fiduciary standard, though whether it will fully apply to everyone calling themselves advisors remains to be seen.

The Department of Labor’s crusade to lower costs and increase transparency in retirement plans means a spate of new regulations affecting advisors and brokers in that market. Dodd-Frank Financial Reform, meanwhile, continues to unroll across the profession, with the biggest change being a shift to state oversight of RIAs with less than $100 million AUM. In this section, you’ll find continually updated RIABiz.com coverage on all these topics.

RIA Compliance

Language of rules amounts to better ammo for lawyers

Proposed DOL regs expose more advisors to fiduciary liability

Rickard Jorgensen

Nevin Freeman

Nevin Freeman

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