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SEC Guidance Update and the DOL's Fiduciary Rule
Spencer Fane 
[Guidance Overview] Jan. 24, 2017 "[SEC Update 2016-06] is focused on streamlining the process for Funds to implement the new options they are proposing. The new options themselves are intended to lessen the likelihood that routine compensation arrangements with financial intermediaries will run afoul of the DOL's [fiduciary rule]. As they seek to understand and advise their plan participants about these new Fund options, employers and plan-level fiduciaries can benefit from understanding the SEC's guidance on the submission and review process." MORE >> |
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