Part 2 of Undisclosed (and Disclosed) 12b-1 Fees This is my 83rd 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 last week’s post (Angles
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
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
Unexpected Consequences of Fiduciary Rule This is my 65th 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 and best interest standards of care, as
Policies and Procedures: The Fourth BICE Requirement This is my 63rd 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 August 31, the Department of Labor
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 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 Fourth Impartial Conduct Standard This is my 50th 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. When the Department of Labor announced that the fiduciary
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