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Understanding the Unwinding of DOL's Fiduciary Rule (PDF)
Groom Law Group, via Law360 Link to more items from this source
[Guidance Overview]
Sept. 13, 2018

"The status of service providers that make investment recommendations to plans or IRAs may change with the return to the five-part test of the 1975 regulation.... While regulation best interest largely tracks existing suitability requirements, it also incorporates several concepts raised by the DOL under the BIC exemption. Having said that, the SEC's effort provides an arguably reduced standard of care and maintains less extensive disclosure obligations than the BIC exemption."

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