The Fiduciary Rule: Mistaken Beliefs (#3) This is my 78th 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
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
Compensation Risks for Broker-Dealers and RIAs This is my 69th 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. While the Best Interest Contract Exemption (BICE) is
Recommendations of Distributions: The SEC Joins the Fray This is my 68th 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 2013, FINRA put its
Concerns About 408(b)(2) Disclosures This is my 66th 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. Because of the change in the definition of fiduciary advice
Is It Possible To Be An Advisor Without Being A Fiduciary? This is my 62nd 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. Under the new
DOL FAQs on 408(b)(2) Fiduciary Disclosures This is my 57th 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. The Department of Labor has issued a new
The DOL’s RFI and the Recommendation of Annuities This is my 55th 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. The Department of Labor’s Request for
The Fiduciary Rule and Discretionary Investment Management This is my 53rd 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 recent conversations I have learned that
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