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DOL Proposes a New Fiduciary Investment Advice Exemption
Groom Law Group [Guidance Overview] July 3, 2020 "Aligning with the SEC's Regulation Best Interest, the Proposed Exemption is an extraordinary development in the form of a class exemption allowing financial institutions to give fiduciary investment advice to participants, plans and IRAs and to receive compensation resulting from that advice. Because of its breadth, the Proposed Exemption might be viewed as a 'one stop shop' for providers of many types of fiduciary investment advice." |
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