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Review of DOL Amicus Filings' Effect on an Investment Advice Fiduciary (PDF)
The Wagner Law Group in 401(k) Advisor 
Sept. 6, 2011
When the Department of Labor issued proposed regulations in October 2010, it expanded the definition of an investment advice fiduciary. The DOL indicated that one of its reasons for proposing the update was to support its enforcement efforts by making it easier for its litigators to prove the five elements necessary to confer fiduciary status. Sometimes, this works the other way around, and the DOL's litigation arm can be seen as supporting and, in the eyes of some observers, enlarging the consequences of policy objectives.
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