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Testimony of Phyllis C. Borzi, Asst Secretary of Labor, EBSA, before House Committee on Education and the Workforce, Subcommittee on Health, Employment, Labor, and Pensions, July 26, 2011
Employee Benefits Security Administration [EBSA], U.S. Department of Labor [DOL] 
July 27, 2011
[A]s we further develop our thinking in this rulemaking, we are paying special attention to the two primary exceptions to fiduciary status under the proposed rule: (1) clarifying the difference between investment education that does not give rise to fiduciary status and fiduciary investment advice; and (2) clarifying the scope of the so-called 'sellers' exception' under which sales activity is not fiduciary advice.
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