What Plans and Arrangements Are Covered by the Fiduciary Rule This is my 59th 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. I continue to be
Recommendations to Contribute to a Plan or IRA This is my 58th 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 Angles article #56, I discussed
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 Department of Labor has reversed its position on the issues discussed in the article below. Angles article #58 explains the changes. Recommendations of Contributions as Fiduciary Advice This is my 56th article about interesting observations concerning the Department of Labor’s fiduciary rule and exemptions. These articles also cover the
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 DOL’s RFI and Possible Changes to BICE This is my 54th 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 issued a
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
The Fiduciary Rule and Exemptions: How Long Will Our Transition Be? This is my 52nd 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 fiduciary regulation
Recommendations to Transfer IRAs This is my 51st 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 new fiduciary regulation includes, among its definitions of fiduciary
Most of the articles on my blog are written from the perspective of an ERISA attorney. However, two of our securities lawyers recently drafted an Alert about the DOL’s recent guidance and the SEC’s engagement in the process. I thought you might be interested in reading article that is written
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