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
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
The Fiduciary Rule and Recordkeeper Services This is my 70th 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. Almost all of my Angles articles have
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
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 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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