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DOL Fiduciary Rule Proposal: Specific Questions to Consider
Ron A. Rhoades, JD, CFPLink to more items from this source
[Opinion]
May 18, 2015
"[1] How can higher-cost, similar products be justified? ... [2] How can bonuses be awarded? ... [3] Changing the relationship between [broker-dealer] and [registered representative]? ... [4] Are [Variable Annuities] and [Equity-Indexed Annuities] more likely to be recommended in IRA accounts? ... [5] How is a one-time high commission amount 'reasonable'? ... [6] Fixed annuity, [equity-indexed annuity] fee/cost determinations.... [7] Less commissions, more 12b-1 fees? ... [8] Does the [best interest contract exemption] meet the requirements for a [prohibited transaction exemption]?"

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