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Labor Department Adopts Amendment To Broker-Dealers Exemption
Employee Benefits Security Administration [EBSA], U.S. Department of Labor [DOL]Link to more items from this source
Oct. 18, 2002
Press release. Excerpt: The [DOL has] issued a technical amendment to an existing class exemption [PTE 86-128] that allows employee benefit plan fiduciaries to use certain affiliated broker-dealers to execute securities transactions for plans. The revised exemption is designed to address the consolidation in the financial services industry that has resulted in more trustees having an affiliation with broker-dealers. The amendment puts trustees on a level playing field with investment managers.

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