Interesting Angles on the DOL’s Fiduciary Rule #92
SEC Proposed Reg BI and Recommendations of Rollovers (Part 1) This is my 92nd article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and exemptions and the SEC’s “best interest” proposals. On April 18, 2018, the SEC released three proposals for comment—Regulation Best Interest (“Reg BI”) for broker-dealers, an Interpretation about the […]