IRAs, Rollovers and DOL Fiduciary Rule Compliance

Faegre Drinker

This program will focus on compliance with the DOL’s new “fiduciary rule,” a combination of an expanded interpretation of fiduciary status and an exemption for compensation, fees and commissions resulting from fiduciary recommendations.

While other programs have discussed the DOL’s requirements, we will discuss the steps that broker-dealers and investment advisers should take to be in compliance by December 20 and what they should be doing now to comply with the Impartial Conduct Standards.

More Information, How to Register