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DOL's Final Investment Advice Rules (PDF)
The Prudential Insurance Company of America 
[Guidance Overview] Dec. 12, 2011 The final rules establish the conditions fiduciary advisers must follow to comply with the prohibited transaction exemption provided by PPA. Parties eligible to be 'fiduciary advisers' include banks, insurance companies, broker dealers, and registered investment advisers, as well as all of their affiliates, employees, representatives, and agents. In addition, a person who develops or markets the program used to provide advice is considered a 'fiduciary adviser.' MORE >> |
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