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DOL Extends Transition Period for Fiduciary Rule Exemptions: What This Means for Service Providers

USA - November 29 2017 The Department of Labor (DOL) has extended the current Transition Period for the DOL Fiduciary Rule exemptions by 18 months. The Transition Period was...

Sandra D. Grannum, Fred Reish, Joshua J. Waldbeser, Joan M. Neri, Bradford P. Campbell.


Impact of the Fiduciary Rule on Plan Sponsors

USA - October 11 2017 Plan sponsors need to pay attention to a new Department of Labor rule redefining fiduciary investment advice. It became effective on June 9. The rule...


DOL’s Latest Set of FAQs: 408(b)(2) Disclosures and Plan Contribution Recommendations

USA - August 10 2017 The Department of Labor (DOL) has released another set of FAQs under the fiduciary rule. In light of possible changes to the rule, these FAQs give...

Joan M. Neri, Bradford P. Campbell.


Impact of the DOL Fiduciary Rule on Broker-Dealers: Recommending Annuities to IRA Investors

USA - July 20 2017 The focus of this alert is the prohibited transaction exemptions (PTEs) PTE 84-24 and the Best Interest Contract Exemption (BICE) that are...

Fred Reish, Joshua J. Waldbeser.


Impact of the DOL Fiduciary Rule on Independent Insurance Agents

USA - June 21 2017 Recommendations of annuities and life insurance to retirement plan participants and IRAs (“retirement investors”) are fiduciary acts under the DOL’s...

Fred Reish, Joshua J. Waldbeser, Joan M. Neri.