Recommendations to retirement plan participants to roll their accounts from a plan to an individual retirement account or annuity will often be viewed as fiduciary advice under new Department of Labor ...

The Retirement Security Rule and accompanying Prohibited Transaction Exemption amendments, finalized in April, elaborate on differential pay between products offered by advisers and how advisers ...

The DOL’s expanded definition of fiduciary advice is described in the preamble to PTE 2020-02. When conflicted fiduciary advice is given to retirement investors (that is, retirement plans, ...

This month, the Department of Labor’s Prohibited Transactions 2020-02 (PTE 2020-02) went into effect. This regulation increases the fiduciary scrutiny placed on IRA rollovers and other transactions ...