12/20/2001: DOL Advisory Opinion 2001-09A: How Financial Services Firms Can Provide Asset Allocation Advice (U.S. Department of Labor, Pension and Welfare Benefits Administration)Excerpt: "On the basis of the facts and representations contained in your submission, it is the view of the Department that, for the reasons discussed below, the transactions with respect to which you have requested exemptive relief would not, to the extent executed in a manner consistent with such facts and representations, violate the provisions of section 406(b) of ERISA."
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