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Recommending Rollovers in the Evolving Regulatory Environment (Part 1)

USA - August 9 2018 With recent developments in the regulatory landscape - the demise of the DOL Fiduciary Rule, the SEC’s proposed Regulation Best Interest (Reg BI) and...

Bruce L. Ashton.


Interesting Angles on the DOL’s Fiduciary Rule 100

USA - August 6 2018 The RIA Interpretation lists a number of factors to consider in the best interest process. However, most of them apply to investment recommendations...


Interesting Angles on the DOL’s Fiduciary Rule 99

USA - August 1 2018 The SEC labeled its interpretation of the standard of care for RIAs (the "RIA Interpretation") as a proposal. However, in that proposal, the SEC...


Interesting Angles on the DOL’s Fiduciary Rule 98

USA - July 16 2018 The SEC's Regulation Best Interest (Reg BI) proposes a number of major changes to the governance of broker-dealers. For example, it imposes a best...


Interesting Angles on the DOL’s Fiduciary Rule 97

USA - July 10 2018 The proposed best interest standard for broker-dealers will apply only to securities transactions recommended to “retail customers.” (Reg BI defines a...