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Loan & Distribution Specialist AimPoint Pension
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Regional Vice President of Sales The Retirement Plan Company
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Bates & Company, Inc.
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Fifth Circuit Court of Appeals Invalidates the DOL Fiduciary Rule and Related Prohibited Transaction Exemptions
Mintz Levin Apr. 12, 2018 "Both the SEC and the many state regulators are moving ahead with their own regulation of the conduct of financial advisors. Thus, a return to the pre-April 2016 law is unlikely.... A large swath of the retail financial services industry was (and still is) based on a sales-oriented culture to which the fiduciary rule is largely antithetical. The question is whether the absence of the fiduciary rule means a return to that ethic." [Chamber of Commerce of the United States of America, et al. v. DOL, No. 17-10238 (5th Cir. Mar. 15, 2018)] |
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