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  • DOL Releases Two Batches of Fiduciary-Rule FAQs

    By Melanie Waddell

    The U.S. Labor Department has issued back-to-back guidance, in the form of frequently asked questions, for advisors, investors and workers regarding the agency's fiduciary rule, which takes effect on April 10.

  • BlackRock Pays $340K Penalty Over Separation Agreements that Restricted Tipsters

    By C. Ryan Barber

    BlackRock Inc., the New York-based asset management firm, will pay $340,000 to resolve claims the company improperly used separation agreements to force employees to waive their ability to obtain any whistleblower awards. The U.S. Securities and Exchange Commission has hit several companies in recent months for similar violations. Regulators have put companies on notice that they cannot restrict the right of an employee to recover any award for providing information to the authorities. BlackRock did not admit or deny liability.

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