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DOL Fiduciary Rule Rises Again, Regulatory Freeze Continues, FINRA Releases Exam Piorities: Regulatory Update for March 2021 | Hardin Compliance Consulting LLC

For Investment Advisers
On December 18, 2020, the Department of Labor (DOL) adopted Prohibited Transaction Exemption 2020-02 (“PTE 2020-02”), subjecting 401(k) rollover subject to ERISA’s fiduciary rules (sometimes). The exemption, called Improving Investment Advice for Workers and Retirees, expands the definition of fiduciary advice under ERISA to recommendations about rollovers and IRA investments. So now, in addition to best interest, fiduciary and disclosure standards imposed by the SEC and FINRA, investment advisers, broker-dealers, banks, and insurance companies (“Financial Institutions”) now have to prove compliance with the DOL’s “Impartial Conduct Standards.” Failure to comply can result in substantial penalties.
The exemption went into effect on February 16, 2021, dashing any hopes that President Biden’s administration might revisit or postpone it. But don’t panic if you are not ready. The DOL and the IRS have agreed to extend their non-enfor ....

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Detailed text transcripts for TV channel - FOXNEWS - 20150909:16:07:00

Over and over and we see even more. she is in enough trouble fair. it was classified information that she destroyed. that is a new batch where she will find yourself at the bottom. it wasn t a simple mistake, it was a deliberate action she took. by the way we are paying for that new transparencies are, it is costing us extra money for her mistake. she should be sorry for that too. in the meantime looks like hillary clinton s e-mail scandal is having an impact on her own stomping grounds would secretary of state appointing janet jacobs to transparency coordinator. essentially an e-mail czar in charge of improving transparency as the agency struggles to overcome archaic records practices and for handling of public records. state department spokesman admitting the position was created in part due to the intense public attention to clinton s e-mails. we re also learning the agency plans to move about 50 workers ....

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