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Man holds Employee Retirement Income Security Act ERISA.
These changes are retroactive to last June
The DOL tweaks its newly revised ERISA exemption 84-14 for qualified professional asset managers
Attorney provide advice on litigation matters and sign contracts as lawyers to receive complaints from client.
It didn’t take long for a group representing insurance agents to sue the Labor Department over its new fiduciary duty rule
The new DOL rule makes clear that 'a recommendation to move from a commission-based account to an advisory fee-based account (or vice versa) would be ...
Mature Couple Meeting With Financial Advisor At Home
Heaped on top of the Labor Department’s new fiduciary duty rule, comes several revisions to existing ERISA PTEs, including the vital rollover exemption used by ...
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This revision of the Labor Department's so called rollover exemption, PTE 2020-02, goes into effect Sept. 23, 2024 but firms will have one year after ...
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The DOL maintains its new rule is 'generally consistent' with the SEC’s fiduciary duty interpretation for advisers and Reg BI for B-Ds
Senior couple consults with female real estate agent
This is the DOL's final rule creating a new definition of an ERISA fiduciary
This document contains a notice of amendment to class prohibited transaction exemption (PTE) 2020-02, which provides relief for investment advice fiduciaries to receive certain compensation ...
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This document contains a notice of amendment to Prohibited Transaction Exemption (PTE) 84-24, an ERISA exemption from certain prohibited transactions
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