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Interesting Angles on the DOL's Fiduciary Rule, Part 38
FredReish.com 
[Guidance Overview] Mar. 2, 2017 "Combining the language in the Risk Alert with the language in the footnote, the [SEC's Office of Compliance Inspections and Examinations (OCIE)] is saying that recommendations to participants to take distributions from plans ... and rolling over to an IRA ... will be scrutinized. It also suggests that the OCIE favorably views FINRA's analysis in Regulatory Notice 13-45." MORE >> |
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