Department of Labor

The Department of Labor’s New Independent Contractor Proposal and Its Potential Impact on Independent Financial Advisors

By George C. Miller — posted in Financial Advisor & Broker Disputes on Friday, March 20, 2026.

Department of Labor Financial Advisors

The U.S. Department of Labor has issued a new Notice of Proposed Rulemaking addressing how to determine whether a worker…

If You Didn’t Already Get It Done: Don’t Forget About the Initial Department of Labor Retrospective Review

By Robert R. Boeche II — posted in Business, Employment & Legal Developments on Wednesday, July 12, 2023.

Business Law Department of Labor

As described in our prior article on the Requirements of New Prohibited Transaction Exemption PTE 2020-02, on December 18, 2020,…

FOLLOWING REG BI, DOL PROPOSES TO EASE RESTRICTIONS ON ADVISER COMPENSATION ON RETIREMENT ACCOUNTS

By George C. Miller — posted in Securities Regulation & Compliance on Thursday, July 9, 2020.

Compensation Department of Labor

The SEC's Regulation Best Interest (Reg BI) under the Securities Exchange Act of 1934 establishes a "best interest" standard of…

What Does the Trump Election Mean for the DOL Fiduciary Rule?

By Jonah A. Toleno — posted in Investment Advisers & Private Funds, Securities Regulation & Compliance on Friday, November 11, 2016.

Department of Labor Fiduciary Duty

Many in the financial services industry likely are wondering what’s in store for the U.S. Department of Labor’s Fiduciary Rule…

DOL’S Final Fiduciary Standard Rule – What’s in Store for Financial Professionals?

By Jonah A. Toleno — posted in Investment Advisers & Private Funds, Securities Regulation & Compliance on Wednesday, April 20, 2016.

Department of Labor Fiduciary Duty

The U.S. Department of Labor has at last issued the final version of its highly-debated “Fiduciary Rule”. The full text…

SEC Fiduciary Rule Proposal to Potentially Differ from DOL’s

By Jonah A. Toleno — posted in Investment Advisers & Private Funds, Securities Regulation & Compliance on Friday, March 25, 2016.

Department of Labor Fiduciary Duty SEC

Calling all financial advisors – time to grab your compasses and brush up on your map-reading skills. […]

AIG Sells Advisor Group In Anticipation of DOL’s New Fiduciary Rule

By George C. Miller — posted in Financial Advisor & Broker Disputes, Investment Advisers & Private Funds on Tuesday, February 2, 2016.

Department of Labor Fiduciary Duty

Late last week, American International Group Inc. (AIG) CEO Peter Hancock announced the firm’s plans to spin off its independent…