Skip Navigation Links9087

 9087 - The Advisor's Guide to the DOL Fiduciary Rule

Chapter 1: Fiduciaries and ERISA

Chapter 2: The Final Regulations: Fiduciary Investment Advice

Chapter 3: Exclusions from Fiduciary "Investment Advice"

Chapter 4: The Best Interest Class Exemption

Chapter 5: Prohibited Transaction Exemption 84-24

Chapter 6: Principal Transactions Exemption

Chapter 7: Prohibited Transaction Exemption 86-128

Chapter 8: Impact on Other PTEs

Chapter 9: Rollovers

Chapter 10: Compliance Strategies

Appendix A: Fiduciary Rule Q&As

Appendix B: New and Modified PTEs

Appendix C: PTE 84-24: Key Disclosures and Requirements (Fixed Rate Annuities, Insurance Policies & Life Insurance)

Appendix D: Best Interest Contract Exemption: Key Disclosures and Requirements

Appendix E-1: DOL Fiduciary Rule

Appendix E-2: Best Interest Contract Exemption Rules

Appendix E-3: Amendment and Partial Revocation of PTE 84-24

Appendix E-4: Class Exemption for Principal Transactions

Appendix E-5: Amendments to PTEs 86-128 and 75-1