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A peer shares the firm's rollover form created to comply with the Labor Department's new rollover exemption
One of the proposed changes would have advisers notify the DOL that they’re using the exemption, and perhaps mandating the reporting of their CRD number
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 ...
Click here to download an Excel file that compares vendors that offer costs data to help in complying with the DOL’s new rollover exemption (RCW, ...
The agency will release 'quite a bit of guidance' to help with compliance with the new IA ad rule 'between now and the November compliance ...
A peer shares a document that can aid an adviser in deciding whether to advise a client to rollover his assets into an adviser-managed IRA
If the previous administration flashed a red light at ERISA plans’ investment managers’ enthusiasm for ESG, the new proposal turns it green in more ways ...
'Inartful language' aside, private fund advocates call it a win
The DOL has stated that it will begin enforcing at the end of this month whether ERISA fiduciaries are following the department’s five-year-old impartial conduct ...
"I wouldn’t be surprised if there weren’t some litigation that comes out of it if DOL tries to get involved in the IRA space. I ...
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