SEC Proposed Reg BI and Recommendations of Rollovers (Part 3) This is my 94th article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and exemptions and the SEC’s “best interest” proposals. Part 1 of this series discussed the provisions in the SEC’s proposed Regulation Best Interest that
SEC Proposed Reg BI and Recommendations of Rollovers (Part 2) This is my 93rd article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and exemptions and the SEC’s “best interest” proposals. In my last post, I described the similarities between the SEC proposed Regulation Best Interest (Reg
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
Parallels Between the SEC Regulation Best Interest and the DOL Best Interest Contract Exemption (Part 2) This is my 91st 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
Parallels Between the SEC Regulation Best Interest and the DOL Best Interest Contract Exemption (Part 1) This is my 90th 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 Fiduciary Rule: What’s Next (Part 1)? This is my 85th 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. By now, it’s common knowledge that
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
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
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