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District Court Vacates DOL Guidance on Fiduciary Investment Advice Involving Rollovers
Thomson Reuters Practical Law Link to more items from this source
Feb. 23, 2023

"The district court concluded that: ... [1] The challenged policies were interpretive rules, and therefore were not subject to the APA's notice-and-comment requirements. [2] The policy regarding rollover investment advice (FAQ [7] was arbitrary and capricious. [3] The policy regarding documentation related to rollover investment advice (FAQ 15) was not arbitrary and capricious." [American Securities Association v. DOL, No. 22-0330 (M.D. Fla. Feb. 13, 2023)]

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