Trade Groups Call for Longer Comment Period for Fiduciary Rule Proposals
The proposals would apply fiduciary status to one-time investment recommendations such as rollovers and annuity sales.
Tag: prohibited transaction
DOL Sends New Adviser Fiduciary Rule to OMB for Review
The rule is expected to broaden when investment advice is considered fiduciary advice under ERISA.
Compliance Consult
Compliance for Wealth Managers
PTE 2020-02 cannot resolve all conflicts of interest.
Fiduciary Decisions Factors PTE Into IRA Rollover Compliance Software
The firm is experiencing a surge in B/Ds and RIAs requesting assistance with the new rule as the enforcement date approaches.
ERISA vista
The DOL’s Latest Proposed PTE
How advisers who only do rollovers would avoid prohibited transactions.
ERISA vista
A Return to Rollover Advice
The DOL revisits the potential for adviser/client ongoing relationships.
