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The Advisor’s Guide to the DOL Fiduciary Rule

SKU: 1980000

Availability: IN STOCK

$169.00

Quick Overview

In April of 2016, the U.S. Department of Labor (DOL) released its final rule that greatly expands the DOL’s definition of “fiduciary” to apply to a broad range of advisors and broker-dealers who work with retirement related accounts. With many advisors currently operating under a suitability standard, broad imposition of the much stricter fiduciary standard of conduct will be a major change that will be felt by nearly the entire financial services industry. Even advisors who currently meet the fiduciary standard will face new documentation and operational requirements.

The Advisor’s Guide to the DOL Fiduciary Rule is the premier resource guiding advisors, planners, agents, producers, attorneys and other professionals through the new requirements established by the DOL’s significant new rule. Written by one of the most highly respected legal experts in the field, this Guide delivers a powerful combination of expert explanations and legal analysis along with vital Q&As that provide reliable, direct answers to vital questions before they arise.

$169.00

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The Advisor’s Guide to the DOL Fiduciary Rule

Look Inside The Book

In April of 2016, the U.S. Department of Labor (DOL) released its final rule that greatly expands the DOL’s definition of “fiduciary” to apply to a broad range of advisors and broker-dealers who work with a wide variety of retirement related accounts. With many of these advisors currently operating under a suitability standard, broad imposition of the much stricter fiduciary standard of conduct will be a major change that will be felt by nearly the entire financial services industry. Even advisors who currently meet the fiduciary standard will face new documentation and operational requirements. The Advisor’s Guide to the DOL Fiduciary Rule is the premier resource guiding advisors, planners, agents, producers, attorneys and other professionals through the new requirements established by the DOL’s significant new rule. Written by one of the most highly respected legal experts in the field, this Guide delivers a powerful combination of expert explanations and legal analysis along with vital Q&As that provide reliable, direct answers to vital questions before they arise.


This is a partial list of the key topics and questions addressed:

• The historical definition of “fiduciary”
• The changing definition of “investment advice”
• Exemption to the new definition of investment advice
• What constitutes “reasonable compensation”?
• Best interest contract (BIC) exemption
• Impact on Insurance products and annuities
• 8424 exception
• Client education exception
• How are conflicts of interest to be handled?
• Acceptable pay models for selling retirement investments, such as 401(k)s and IRAs
• How does the new rule apply to small plans with less than 100 participants?
• Enforcement authority of the DOL under the new fiduciary rule
• The DOL’s “impartial conduct standard” and its relationship to Prohibited Transaction Exemptions
• Impact on advisors and registered investment advisors (RIAs)
• Potential civil liability for violations

Plus…there’s a “Frequently Asked Questions” section for advisors and broker dealers…forms and sample contracts for the Best Interest Contract Exemption…and much more.
 ISBN
9781941627921
 Page Count
192
 Publication Date
Jul 20, 2016
 Author
Marcia S. Wagner, Esq., Stephen J. Migausky, Esq., and Livia Quan Aber, Esq.
 Edition
1