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DOL Final Investment Advice Regulation's Impact on the Retail Investor Marketplace (PDF)
Groom Law Group, via The Investment Lawyer Link to more items from this source
[Guidance Overview]
July 1, 2016

16 pages. "The purpose of this article is to: [1] provide a summary of the definition of 'investment advice' under the Final Regulation; [2] discuss the impact of the Final Regulation and the prohibited transaction exemptions, particularly the BIC and PTE 84-24, on the distribution of products and services; and [3] provide some recommendations on how to proceed."

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