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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 making 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.

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
SKU 1980002B
Publication Date December 21, 2018
ISBN 978-1-941627-92-1
Page Count 176
Author Marcia S. Wagner, Esq.; Barry Salkin, Esq,
Edition 2
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Barry Salkin

Barry Salkin concentrates his practice in ERISA and employee benefits law. He has significant expertise drafting, amending and negotiating various ERISA and employee benefit plans, including defined benefit pension plans, profit sharing plans, 401(k) plans, as well as qualified and non-qualified deferred compensation programs. He also has wide-ranging experience crafting group medical and health plans involving Health Care Reform, HIPAA, and COBRA. In addition, he has represented clients in ERISA litigation and audits.

His clients include multi-national corporations, closely-held companies, high-net-worth individuals, financial institutions, governmental agencies, investment groups, and tax-exempt organizations such as hospitals and physicians’ organizations.

Barry also advises clients on all aspects of retirement plan tax-qualification requirements and the application of labor and securities laws and regulations to sponsors of employee benefit plans and executive compensation programs. Moreover, he has extensive experience in establishing, merging and terminating benefit plans and compensation agreements, and counsels clients on fiduciary responsibilities and prohibited transactions.

Prior to joining The Wagner Law Group, Barry served as counsel and senior attorney at leading law firms in Manhattan.

Marcia S. Wagner

Marcia S. Wagner is the founder of The Wagner Law Group, a certified woman-owned and operated business and one of the nation’s largest and most highly regarded boutique law firms, specializing in ERISA, employee benefits, executive compensation, employment, labor, human resources, personal law (estate planning, family and immigration) and investment management law.

Ms. Wagner has been practicing employee benefits law for over thirty years. She founded The Wagner Law Group more than twenty years ago and is the Firm’s Managing Partner. She graduated summa cum laude and Phi Beta Kappa from Cornell University and is a graduate of Harvard Law School. 

Ms. Wagner is an authority on employee benefits matters, including qualified and non-qualified plans, fiduciary issues, deferred compensation, and welfare benefit arrangements. Her experience in employee benefits includes plan design, drafting and preparation, compliance, tax planning and consultation on all aspects of ERISA and the Internal Revenue Code. She consults with law firms, employee benefits organizations, and corporate and public plan sponsors, and serves as an expert witness in ERISA litigation.

She counsels plan sponsors on qualified plans, 403(b) and 457 plans, multiple employer plans (MEPs), IRAs, employee stock ownership plans (ESOPs), executive compensation arrangements and retiree medical benefits in matters involving plan operation and maintenance, plan terminations, mergers and acquisitions, tax treatment of plan participants, use of life insurance and annuities, and derisking of pension liabilities. 

Ms. Wagner also specializes in Title I of ERISA, and has obtained advisory opinions, information letters and prohibited transaction exemptions from the U.S. Department of Labor. She handles fiduciary matters impacting plan sponsors, investment and other fiduciary committees, investment managers and advisors, recordkeepers, broker-dealers, banks, and other financial services firms. Ms. Wagner advises clients on the avoidance and rectification of prohibited transactions, the development of compliance programs, and investment policies. She is a renowned expert in issues concerning pension plan investments and fiduciary issues, and her opinion has been sought by noted authorities in the employee benefits area, including governmental agencies. 

Ms. Wagner works on Department of Labor, IRS and PBGC audits of plans as well as of financial institutions that service plans, and has negotiated numerous favorable closing agreements. 

She was appointed Chair of the Employee Plans subcommittee of the IRS Tax Exempt & Government Entities Advisory Committee and received that agency’s highest honor. She is a Fellow of the American College of Employee Benefits Counsel and is the recipient of more than fifty professional honors. 

Finally, Ms. Wagner has written hundreds of articles and fifteen books. She is a highly sought after lecturer, and is widely quoted in The Wall Street JournalFinancial Times, and Pension & Investments. She has been a guest on FoxCNNBloomberg, and NBC.