August 9, 2017

The Final Rule: DOL Issues Fourth Set of FAQs

Susan Krawczyk, Carol McClarnon, Vanessa Scott, W. Mark Smith

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On August 3, 2017, the Department of Labor (DOL) released a fourth set of FAQs related to its new “investment advice” fiduciary definition and related exemptions (Final Rule), which became applicable on June 9. Like the May FAQs, the three new FAQs are positioned as transition period guidance, although their content is not so limited.

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