Compliance
A DOL Fiduciary Rule and PTE Refresher
No matter if an adviser is a flat-fee registered investment adviser or a commission-based broker/dealer, the DOL says the collection of compensation related to rollover guidance is almost always going to be a prohibited transaction, triggering the need for an exemption.
Compliance Consult
Caution Needed Regarding Rollovers
Many recommendations may now be investment advice.
ERISA vista
A Return to Rollover Advice
The DOL revisits the potential for adviser/client ongoing relationships.