DOL Fiduciary Rule Back in Play as Industry Preps for PTE 2020-02

New federal regulations for retirement advisers may not last long. Though the US Department of Labor’s exemption for investment advice fiduciaries has taken effect as planned and is expected to be enforced in December as scheduled, the agency has since signaled its intent to revisit its fiduciary regulation on a broader scale. The DOL recently announced its intent to amend the definition of the term “fiduciary” by including it as an item on its spring regulatory agenda. The agency revised the definition previously but it did not stick because a federal court vacated the DOL fiduciary rule that contained the […]

Continue readingMore Tag

RegEd Sponsors FSI OneVoice 2021

RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, will be a sponsor and exhibitor at the Financial Services Institute (FSI) OneVoice conference, which will be held in Orlando, Fla., and virtually, from July 26-28. The FSI OneVoice 2021 conference is an educational forum for independent financial services firm executives. Attendees will learn critical insights on the most important issues affecting their businesses as they move forward in a post-Covid-19 world. This year’s conference will include general sessions on navigating the recovery, diversity and inclusion, and the future economy. It also will have concurrent […]

Continue readingMore Tag
Scroll to top