Last-minute guidance on DOL exemption

It’s possible the SEC could alert the DOL to violations of its exemption rules. When the DOL shows up, though, it’s usually too late, he notes. They often come bearing a fine for the firm.

To read this article, you need to sign in.


You should only be asked to sign in once. Not the case? Click here


New to Regulatory Compliance Watch?

Register now to read this article and more for free.