The Requirement to Disclose Fiduciary Status This is my 49th 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 new fiduciary rule applies on June
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
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
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
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
A Seminar Can Be a Fiduciary Act This is my 34th 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. Last week, the DOL issued its second set of FAQs on the fiduciary rule
Discretionary Management, Rollovers and BICE This is my 33rd 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. Most broker-dealers and RIA firms are familiar with the provisions of the Best Interest Contract Exemption
One of the consequences of the presidential election is that the future of the fiduciary rule (and the exemptions) is uncertain. What does that mean to advisers . . . regardless of whether they are representatives of RIAs or broker-dealers, or for that matter, if they are independent insurance agents?
The Definition of Compensation This is my twenty-seventh article about interesting observations concerning the fiduciary rule and exemptions. As the readers of these articles know, one impact of the new fiduciary rule is that compensation paid to Financial Institutions and advisers must be reasonable. Reasonable, in turn, is a function
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