Each calendar quarter, I post approximately 12 articles on my blog, fredreish.com. This quarterly digest provides links to the most popular posts during the past three months so that you can catch up on what you missed or re-read them. Best Interest Standard of Care for Advisors #55: The Department
Los Angeles partner Fred Reish was featured on the cover of 401(k) Specialist Magazine, and was quoted extensively in the cover story titled “Fred Knows 401k Fiduciary.” The article states that after the demise of the Department of Labor’s Conflict of Interest Rule, Fred is “about as close as one
Regulation Best Interest Recommendations by Broker-Dealers: Part 3 This is my 97th article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and the SEC’s “best interest” proposals. In my last two articles—Part 1 and Part 2 on this topic, I discussed the fact that proposed Reg BI
SEC Proposed Reg BI and Recommendations of Rollovers (Part 3) This is my 94th article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and exemptions and the SEC’s “best interest” proposals. Part 1 of this series discussed the provisions in the SEC’s proposed Regulation Best Interest that
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: 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
The Fiduciary Rule: Mistaken Beliefs (#2) This is my 77th 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 DOL’s fiduciary regulation and the transition
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
What Does the Best Interest Standard of Care Require? This is my 64th 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 best interest standard of
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
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