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Securities and Exchange Commission (SEC) › Breach of Duty › Department of Labor (DOL)

Seyfarth Shaw LLP

The DOL May Not Actually Want to Hear From You: New Guidance Streamlining the Voluntary Fiduciary Correction Program

Seyfarth Shaw LLP on

The DOL updated its voluntary fiduciary correction program (“VFCP”) which was introduced over 20 years ago to allow plan sponsors to corrected enumerated fiduciary breaches. The amended VFCP now allows for self-correction of...more

Fox Rothschild LLP

The DOL: The New Securities Regulator?

Fox Rothschild LLP on

The United States Department of Labor (“DOL”) has had a very active summer regulating the securities industry. Yes, you heard it right, the DOL has made certain pronouncements that have considerable effect on the securities...more

Proskauer - Employee Benefits & Executive...

Department of Labor Officially Proposes Delaying Fiduciary Rule’s Exemptions for 18 Months

Proskauer - Employee Benefits & Executive... on

On August 30, 2017, the Department of Labor (“DOL”) officially proposed delaying the applicability date of exemptions to its fiduciary rule until July 1, 2019. The proposal was expected after DOL stated in a court filing...more

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