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DOL Issues Final Rule on Investment Advice .... Again
K&L Gates [Guidance Overview] Nov. 28, 2011 The Final Rule helpfully states that none of the DOL's prior regulations, exemptions, or other guidance on the provision of investment advice is affected by the Final Rule. Therefore, programs that comply with prior guidance, such as the SunAmerica advisory opinion (AO 2001-09A), should continue to be compliant with ERISA. |
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