Business Development


Financial Advisor Summary of the New DOL Proposed Regulations on the Conflict of Interest Rule

The  focus  of  this  paper  is  to  summarize  for  the  retirement  plan  financial  adviser  the existing  ERISA  regulations  impacting  his  or  her  practice  and  then  to  note  how  the proposed  regulations  issued  by  the  Employee Benefits  Security  administration  ("EBSA") on  April  14,  2015  that  change  the  definition  of  "investment  advice  fiduciary"  would  affect both  the  existing  ERISA  regulations  and  the  current  business  practices  of  the  adviser.

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