What Does the 5th Circuit Decision Mean for Rollover Recommendations? This is my 84th article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and exemptions. These articles also cover the DOL’s FAQs interpreting the regulation and exemptions and related developments in the securities laws. The 5th Circuit
Undisclosed (and Disclosed) 12b-1 Fees: The Different Views of the SEC and DOL This is my 82nd article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and exemptions. These articles also cover the DOL’s FAQs interpreting the regulation and exemptions and related developments in the securities laws.
The Fiduciary Rule Prohibits Commissions . . . or Not (Myth #6) This is my 81st article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and exemptions. These articles also cover the DOL’s FAQs interpreting the regulation and exemptions and related developments in the securities laws. This
Is the New Fiduciary Rule Enforceable During the Transition Period? (Myth #5) This is my 80th article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and exemptions. These articles also cover the DOL’s FAQs interpreting the regulation and exemptions and related developments in the securities laws. This
The Fiduciary Rule: Mistaken Beliefs (#4) This is my 79th article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and exemptions. These articles also cover the DOL’s FAQs interpreting the regulation and exemptions and related developments in the securities laws. This post continues my series on myths
The Fiduciary Rule: Mistaken Beliefs (#2) This is my 77th article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and exemptions. These articles also cover the DOL’s FAQs interpreting the regulation and exemptions and related developments in the securities laws. The DOL’s fiduciary regulation and the transition
Discretionary Management of IRAs: Prohibited Transaction Issues for RIAs This is my 76th article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and exemptions. These articles also cover the DOL’s FAQs interpreting the regulation and exemptions and related developments in the securities laws. The regulation defining fiduciary
The Fiduciary Rule: Mistaken Beliefs This is my 75th article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and exemptions. These articles also cover the DOL’s FAQs interpreting the regulation and exemptions and related developments in the securities laws. The fiduciary regulation has been in effect since
One More Fiduciary Issue for Recordkeepers This is my 74th article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and exemptions. These articles also cover the DOL’s FAQs interpreting the regulation and exemptions and related developments in the securities laws. In my last four posts, Angles 70
Recordkeepers and Financial Wellness Programs This is my 71st article about interesting observations concerning the Department of Labor’s fiduciary rule and exemptions. These articles also cover the DOL’s FAQs interpreting the regulation and exemptions and related developments in the securities laws. In my last post, Angles #70, I highlighted the
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