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Retirement Plan › Department of Labor (DOL) › Insurance Agents

Faegre Drinker Biddle & Reath LLP

The New Fiduciary Rule (36): Confusion about Annual Retrospective Reviews

Faegre Drinker Biddle & Reath LLP on

The Department of Labor has issued its final regulation defining fiduciary status for investment advice to retirement investors and the related exemptions for prohibited conflicts—PTE 2020-02 and 84-24. The exemptions provide...more

Broker-Dealer Compliance + Regulation

The Fiduciary Rule Poll

Broker-Dealer Compliance + Regulation on

The US Department of Labor’s (DOL) fiduciary standard rule has been befuddling the financial services industry for the past seven years. In its simplest form, it increases accountability for the brokers, planners and...more

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