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June 08, 2021

IRAs, Rollovers and DOL Fiduciary Rule Compliance: What You Need to Know



This program focused on compliance with the DOL’s new “fiduciary rule,” a combination of an expanded interpretation of fiduciary status and an exemption for compensation, fees and commissions resulting from fiduciary recommendations.

While other programs have discussed the DOL’s requirements, we discussed the steps that broker-dealers and investment advisers should take to be in compliance by December 20 and what they should be doing now to comply with the Impartial Conduct Standards.


Questions? Please contact Heather Sanders or call +1 215 988 1127.

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