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Licensing Rules › Exemptions › Investment Adviser

Faegre Drinker Biddle & Reath LLP

The New Fiduciary Rule (40): Rollovers and the Insurance License Issue

Faegre Drinker Biddle & Reath LLP on

The Department of Labor’s final regulation defining fiduciary status for investment advice to retirement investors will be effective this September 23. Where a fiduciary recommendation results in additional compensation for...more

Allen Matkins

Commissioner Ponders Whether To Exempt Real Estate Brokers From Investment Adviser Registration

Allen Matkins on

Last week, the Commissioner of Business Oversight issued an invitation for comment on whether to exempt real estate brokers from the investment adviser certification requirement under the Corporate Securities Law of 1968....more

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