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DOL Grants New Extension of Investment Advice Rulemaking
Stradley Ronon Link to more items from this source
[Guidance Overview]
Oct. 27, 2021

"For the period from Dec. 21, 2021 through Jan. 31, 2022, the DOL will not pursue prohibited transactions claims against investment advice fiduciaries who are working diligently and in good faith to comply with the Impartial Conduct Standards ... for transactions that are exempted in PTE 2020-02, nor will the DOL treat such fiduciaries as violating the applicable prohibited transaction rules. The DOL will not enforce the specific documentation and disclosure requirements for rollovers in PTE 2020-02 through June 30, 2022. All other requirements of the exemption, however, will be subject to full enforcement as of Feb. 1, 2022."

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