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The Advisor’s Guide to the DOL Fiduciary Rule, 2nd Edition

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The Advisor’s Guide to the DOL Fiduciary Rule, 2nd Edition

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The Department of Labor’s (DOL) fiduciary rule constitutes the single biggest change in the financial advisory area since the passage of ERISA, but the DOL fiduciary rule was invalidated by a federal court of appeals last year. That begs the question: What rules apply for financial advisors helping clients make important decisions affecting their retirement?


Written by two of the most respected legal experts in the field, The Advisor’s Guide to the DOL Fiduciary Rule, 2nd edition, explains in detail what practices are permitted, prohibited, and required when dealing with retirement accounts.

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The Department of Labor’s (DOL) fiduciary rule constitutes the single biggest change in the financial advisory area since the passage of ERISA, but the DOL fiduciary rule was invalidated by a federal court of appeals last year. That begs the question then of what rules do apply for financial advisors helping clients make important decisions affecting their retirement?

As a result, every attorney, advisor, or consultant whose practice, or the practice of their clients, directly or indirectly include advising on retirement plans must ensure they are in compliance with the new DOL Fiduciary Rule.

The Advisor’s Guide to the DOL Fiduciary Rule, 2nd edition, explains in detail what practices are permitted, prohibited, and required when dealing with retirement accounts. This includes the rendering of advice, fee structures, developing training courses, evaluating operating procedures and forms, and correcting noncompliant activities.

Written by two of the most respected legal experts in the field — Marcia Wagner, founder of the Wagner Law Group, and Barry Salkin, also of the Wagner Law Group, who have been practicing in the area of ERISA and employee benefits for many years — this 2nd edition has been fully updated, including:

  • Valuable information on the current Fiduciary Rule now in place as a result of court invalidation on the most recent fiduciary rule
  • Current status and analysis of proposed SEC rule
  • Current state of financial industry on compliance
  • Employee benefits consultants or specialists
  • Potential scenarios for 2019
  • And more!

With this latest edition, advisors, planners, agents, producers, attorneys and other professionals will be able to confidently navigate the change surrounding this rule.

Additional Information

Additional Information

Image Gallery N/A
ISBN 9781945424670
EISBN 9781945424687
Page Count 176
Publication Date Dec 21, 2018
Author Marcia S. Wagner, Esq.; Barry Salkin, Esq,
Edition 2
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