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Navigating the DOL's New Fiduciary Rules: A Game Plan for Broker-Dealers (PDF)
Dechert LLP Link to more items from this source
[Guidance Overview]
Aug. 31, 2016
22 pages. "This [article] discusses: [1] the definition of 'fiduciary investment advice' and the circumstances under which a broker-dealer may be considered a 'fiduciary' when it provides investment advice to 'Retirement Investors'; [2] the exemptions that may be available to broker-dealers that are fiduciaries; and [3] various compliance considerations for broker-dealers seeking to rely on one or more exemptions under the Final Rules."

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