The DOL Fiduciary “Package”: Basics on the Prohibited Transaction Exemptions This is my 45th 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. My last post (Angles
The Basic Structure of the Fiduciary Package (June 9) This is my 44th 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. This article focuses on the
BICE Transition: More Than the Eye Can See This is my 43rd 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. As we all know by now,
Rollovers under the DOL’s Final Rule This is my 42nd 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. On April 7, 2017 the DOL issued its
While We Wait: The Current Fiduciary Rule and Annuities This is my 41st 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. As explained in previous posts,
The DOL has published Field Assistance Bulletin 2017-1, which provides some limited temporary relief while the industry waits to find out if the Fiduciary Rule will be applicable April 10. The Drinker Biddle Employee Benefits and Executive Compensation Group has written a Client Alert, in which we discuss the two scenarios
New Rule, Old Rule: What Should Advisers Do Now? This is my 40th 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. Now that it seems clear
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
The Department of Labor (DOL) published a proposed rule to delay the applicability date of the fiduciary rule from April 10 to June 9. The proposal for the delay will still need to go through a regulatory process, including a 15 day comment period; however we expect that the DOL
SEC Examinations of RIAs and Broker-Dealers under the ReTIRE Initiative This is my 38th 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. As explained in my last post (Angles #37), the SEC’s Office
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