Nicholas Pension Consultants
Compensation Strategies Group, Ltd.
Nova 401(k) Associates
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|Broker-Dealer Services to Plans and IRAs: Impact of the DOL Fiduciary Advice Exemption|
Mar. 24, 2021
"The PTE will likely affect the business of broker-dealers that regularly make investment recommendations to IRA owners, as well as retirement plans and their participants ... [B]roker-dealers need to re-evaluate whether and when they (and their investment professionals) may be fiduciaries, and ... need to develop compliant practices, policies and procedures."
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