July 31, 2010

The DOL’s 408(B)(2) Regulation: Impact on Registered Investment Advisers (RIAs)

This is one of a series of bulletins about the impact on covered service providers of the Department of Labor’s (DOL) “interim final” regulation under ERISA Section 408(b)(2).  This Bulletin focuses on the impact of the regulation on independent registered investment advisers (RIAs) that provide nondiscretionary advisory services (as opposed to discretionary investment management services) to plan fiduciaries. (By “independent,” we mean an RIA that is not affiliated with a broker-dealer, mutual fund management complex, recordkeeper or other entity that provides services to plans or receives compensation from plans.)

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