In Case You Missed It: Popular Insights – First Quarter 2021

Each calendar quarter, I post approximately 12 articles on my blog, 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.

This quarter there was continued interest in the DOL’s final prohibited transaction exemption (PTE) that permits investment advisers, broker-dealers, banks and insurance companies, and their representatives, to receive conflicted compensation resulting from nondiscretionary fiduciary investment advice. Issued on December 18, 2020, the PTE is titled “Improving Investment Advice for Workers & Retirees.” The citation is Prohibited Transaction Exemption 2020-02. The exemption is effective February 16, 2021.

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The views expressed in this article are the views of Fred Reish, and do not necessarily reflect the views of Faegre Drinker.