Interesting Angles on the DOL’s Fiduciary Rule #39
FINRA Regulatory Notice 13-45: Guidance on Distributions and Rollovers This is my 39th 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. Even though the DOL fiduciary rule is being delayed, other […]