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Interesting Angles on the DOL's Fiduciary Rule, Part 96
FredReish.com Link to more items from this source
[Guidance Overview]
June 26, 2018
"[According to] the SEC proposal ... a 'retail customer' includes individual investors, family and personal trusts, IRA owners, and plan participants. However, it does not include businesses, retirement plans, and tax-exempt organizations. Unfortunately, the SEC did not explain why they excluded some of those investors, who may be relatively unsophisticated."

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