Employee Benefits Security Administration

• 

  DOL, SEC, FINRA Enforcement Roundup: DOL Recovers $43 Million for Madoff Victims

  By Marlene Y. Satter, AdvisorOne  |  February 28, 2013

  Among other recent enforcement actions were SEC charges against two Connecticut-based hedge fund managers and their firms for fraud.

• 

  3 Issues That Will Dominate DOL Fiduciary Debate

  By Melanie Waddell, AdvisorOne  |  February 28, 2013

  Pay close attention to three areas of the DOL’s reproposed fiduciary rule once it’s released in July, says Brad Campbell, former head of EBSA.

• 

  As Fiduciary Debate Returns, Advisors Share Attitudes and Practices

  By James J. Green, AdvisorOne  |  February 26, 2013

  As the SEC and DOL work to finalize their fiduciary standards, AdvisorOne and fi360 field their third annual advisor fiduciary survey to determine real-world advisor opinions and actions.

• 

  Top 5 Retirement Issues

  By Editorial Staff  |  February 25, 2013

  Investment Advisor talked to several of the main players on the retirement stage to get their thoughts on the big challenges of modern retirement.

• 

  DOL Fines Sherwin-Williams $80M for Tax Violations

  By Melanie Waddell, AdvisorOne  |  February 21, 2013

  The agreement comes after the department’s EBSA investigated whether Sherwin-Williams, seeking to take advantage of tax breaks, improperly managed the plan.

• 

  Record Attendance, Upbeat Mood at FSI Conference

  By John Sullivan, AdvisorOne  |  January 29, 2013

  The new year finds the Financial Services Institute optimistic and on a roll.

• 

  Emboldened Borzi Is Back

  By Melanie Waddell, AdvisorOne  |  January 21, 2013

  Bolstered by another four years in her position under a re-elected Obama administration, Phyllis Borzi is adamant that EBSA’s fiduciary rule will see the light of day this year.

• 

  Labor Secretary Solis Resigns

  By Melanie Waddell, AdvisorOne  |  January 10, 2013

  Labor Secretary Hilda Solis announced Wednesday that she is resigning after four years in the Obama administration.

• 

  Will the DOL Finally Show that Fiduciary Advice Is Better Business?

  By Bob Clark, AdvisorOne  |  December 27, 2012

  Cornerstone of new proposal is expected to be “substantial economic analysis.”

• 

  Three Washington Heavyweights to Drive Advisor Agenda in ’13

  By Melanie Waddell, AdvisorOne  |  December 19, 2012

  Three key Washington heavyweights will have a crucial role in advisors’ lives next year: Elisse Walter, the new SEC chairman; Rep. Jeb Hensarling, the incoming House Financial Services chairman; and Phyllis Borzi, at the DOL’s EBSA.