Instant Insights / 2018 Year in Review

Here are some highlights of 2018.

Commentary

The fiduciary rule: Where does it stand?

A quick review of where matters stand with the DOL fiduciary rule, the SEC, and the states.

By Frederic Slade | Updated on November 21, 2018

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The fiduciary rules governing investment advice by Registered Investment Advisers (RIAs) and broker-dealers are currently in a state of transition.

The “DOL” prefix no longer applies — the 2017 Department of Labor fiduciary standard, also known officially as the “Conflict of Interest” rule, was repealed by a Federal court in 2018.

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