Other Issues >> Fiduciary Issues


Legislative — proposals, bills and analysis from 2006-present

Regulatory — administrative rules and information from U.S. offices and agencies

Judicial — current and past court cases and amicus briefs

Archive — Click to access archived items for this issue

Press Releases — Council statements and advisories to the news media

See Also — for related information

Related Links — for related links



(Items in italic are available only to Council members.)

Official Source Documents

July 11, 2016 — Class Exemption for Principal Transactions in Certain Assets between Investment Advice Fiduciaries and Employee Benefit Plans and IRAs; Correction

July 11, 2016 — Best Interest Contract Exemption; Correction

April 8, 2016 — DOL Final Regulations on Definition of Fiduciary: Amendment to and Partial Revocation of PTE 86-128 and PTE 75-1

April 8, 2016 — DOL Final Regulations on Definition of Fiduciary: Amendments to Class Exemptions 75-1, 77-4, 80-83 and 83-1

April 8, 2016 — DOL Final Regulations on Definition of Fiduciary: Amendment to Prohibited Transaction Exemption (PTE) 75-1, Part V

April 8, 2016 — DOL Final Regulations on Definition of Fiduciary; Conflict of Interest/Retirement Investment Advice

April 8, 2016 — DOL Final Regulations on Definition of Fiduciary: Class Exemption for Principal Transactions in Certain Assets between Investment Advice Fiduciaries and Employee Benefit Plans and IRAs

April 8, 2016 — DOL Final Regulations on Definition of Fiduciary: Amendment to and Partial Revocation of PTE 84-24

April 8, 2016 — DOL Final Regulations on Definition of Fiduciary: Best Interest Contract Exemption

October 30, 2015 — Letter from 47 Democrats to DOL Regarding Fiduciary Definition Project

October 6, 2015 — Letter from Reps. Kelly and Johnson to DOL Regarding Fiduciary Definition Project

June 16, 2015 — DOL Announcement of Hearing on Fiduciary Definition Proposal, Comment Period Extension

May 12, 2015 — Comment Letter from Republican Senators to DOL Requesting Comment Period Extension for Fiduciary Definition Regulations

April 20, 2015 — DOL/EBSA Proposed Regs on Definition of "Fiduciary": Notice of Extension of Comment Period

April 20, 2015 — DOL/EBSA Proposed Regs on Definition of "Fiduciary": Proposed Amendment to and Proposed Partial Revocation of PTE 84-24

April 20, 2015 — DOL/EBSA Proposed Regs on Definition of "Fiduciary": Proposed Class Exemption for Principal Transactions

April 20, 2015 — DOL/EBSA Proposed Regulations on Definition of the Term "Fiduciary"

April 20, 2015 — DOL/EBSA Proposed Regs on Definition of "Fiduciary": Proposed Amendments to Class Exemptions 75-1, 77-4, 80-83 and 83-1

April 20, 2015 — DOL/EBSA Proposed Regs on Definition of "Fiduciary": Proposed Amendment to PTE 75-1, Part V

April 20, 2015 — DOL/EBSA Proposed Regs on Definition of "Fiduciary": Proposed Amendments to and Proposed Partial Revocation of PTEs 86-128 and 75-1

April 14, 2015 — DOL/EBSA Fact Sheet on Proposed Regulations on Definition of the Term "Fiduciary"

March 24, 2015 — Follow-up Letter from Reps. Kline and Roe to DOL Regarding Fiduciary Definition Project

March 4, 2015 — Letter from Reps. Kline and Roe to DOL Regarding Fiduciary Definition Project

February 23, 2015 — Council of Economic Advisors Report: The Effects of Conflicted Investment Advice on Retirement Savings

August 2, 2013 — Letter from 10 Senators to OMB Regarding DOL-SEC Fiduciary Redefinition Project

June 20, 2012 — Letter from Assistant Labor Secretary for EBSA Phyllis Borzi to House Education and the Workforce Committee on Fiduciary Definition Project

July 18, 2011 —  SEC Final Regulations Regarding Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants

April 14, 2011 — Congressional Republicans Letter to DOL Regarding Proposed Fiduciary Definition Regulations

March 30, 2011 — DOL Fact Sheet on Definition of Fiduciary

March 1, 2011 — Transcript of DOL Hearings on Fiduciary Definition: March 2, 2011 Transcript

March 1, 2011 — Transcript of DOL Hearings on Fiduciary Definition: March 1, 2011 Transcript

January 12, 2011 — EBSA Notice of Hearing on Definition of Fiduciary

Council Materials

May 19, 2016 — Benefits Law Briefing Webinar Presentation Slides: The Fiduciary Rule - Next Steps for Plan Sponsors and Service Providers

March 10, 2016 — Summary of the Council's Meeting with White House Officials Regarding DOL Fiduciary Rule

March 4, 2016 — BENEFITS BLUEPRINT: Summary of the DOL’s Recent Guidance on Social Investing

February 25, 2016 — Council Letter to OMB Regarding DOL Fiduciary Rule Proposal

December 18, 2015 — Highlights from the Obama Administration’s October 2015 Regulatory Agendas and IRS Priority Guidance Plan

September 24, 2015 — Council Supplemental Comments on DOL/EBSA Proposed Regulations on Definition of the Term

July 21, 2015 — Council Comments on DOL/EBSA Proposed Regulations on Definition of the Term "Fiduciary"

July 10, 2015 — Appendix to Council Letter to EBSA Requesting Clarification of Fiduciary Definition As it Applies to Health and Welfare Plans

July 10, 2015 — Appendix to Council Letter to EBSA Requesting Clarification of Fiduciary Definition As it Applies to Health and Welfare Plans

June 11, 2015 — Benefits Briefing Webinar Presentation Slides: DOL's Fiduciary Definition Proposal

June 11, 2015 — Benefits Briefing Webinar Presentation Slides: DOL's Fiduciary Definition Proposal

May 5, 2015 — Council Letter to EBSA Requesting Comment Period Extension for Fiduciary Definition Regulations

March 26, 2015 — BENEFITS BLUEPRINT: Summary and Analysis of CEA Report on Re-proposed Fiduciary Rule: 'The Effects of Conflicted Investment Advice on Retirement Savings'

February 20, 2014 — Summary of DOL Fiduciary Proposed Regulations Hearing (Courtesy of Davis & Harman LLP)

August 29, 2011 — Council Comment Letter to SEC on Proposed Business Conduct Standards Regulations

June 3, 2011 — Council/CEIBA Letter to CFTC Regarding Business Conduct Standards

March 7, 2011 — Trade Associations' Request to DOL for Extended Comment Time Regarding Fiduciary Definition Hearing

February 22, 2011 — Council/CEIBA Letter to CFTC Regarding Business Conduct Standards

February 22, 2011 — Group Letter to CFTC Regarding Business Conduct Standards

February 3, 2011 — Council Comments to DOL Regarding Proposed Regulations on Definition of "Fiduciary"

April 6, 2016 — DOL fiduciary rule presents improvements, concerns
September 19, 2011 — Council commends DOL on re-proposal of fiduciary rule
March 1, 2011 — Council tells EBSA: fiduciary definitions are still too broad