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District Court Vacates DOL's Fiduciary Rollover Advice Policy
October Three Consulting 
Feb. 17, 2023 "The key issue for the court was 'whether, under the text of ERISA and the 1975 Regulation, the future provision of advice pertaining to an IRA would fall within the definition of 'render[ing] investment advice' to an employee benefit plan.' The court found it did not." [American Securities Association v. DOL, No. 22-0330 (M.D. Fla. Feb. 13, 2023)] |
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