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April 1, 2016

DOL Announcement coming April 16th

The WSJ is reporting today that the Obama administration is set to unveil the final DOL Fiduciary Advice rule next Wednesday, April 6th at 11:30am.


With many supporters and detractors, the new rule will impose new limits on how brokers and financial advisers offer financial advice to people saving for retirement and will have significant impacts on our business.  For sure, next week will be filled with rants and raves, commentary, and maybe even a law suit or two...


Make sure to clear some time on your calendar next Wednesday to read the final rule, which will be published in the Federal Register at For our constituents, make sure to pay close attention to the changes of Prohibited Transaction Exception (PTE) 84-24, the new Best Interest Contract Exemption and the Investment Education Carve-out.

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