Tag Archives: DOL Fiduciary Rule

DOL Fiduciary Rule Delay is Official

The 18-month from the DOL is now official.  The Transition Period for the Fiduciary Rule’s Best Interest Contract Exemption and the Principal Transactions Exemption will move from January 1, 2018 to July 1, 2019. During the extended period, fiduciary advisors … Continue reading

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Morningstar Introduces Best Interest Scorecard

The consolidated proposal system, available in Morningstar® Advisor Workstation(SM), represents company’s ongoing efforts to help advisors serve clients’ best interests CHICAGO, Oct. 26, 2017 /PRNewswire/ — Morningstar, Inc. (NASDAQ: MORN), a leading provider of independent investment research, today announced the … Continue reading

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The Fiduciary Rule, Distributions and Rollovers

information provided by Fred Reisch blog at FredReisch.com Now that it seems likely that the fiduciary rule and the transition exemptions will continue “as is” until at least July 1, 2019, it’s time to re-visit the fiduciary rule and the … Continue reading

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Finding Fees to Satisfy DOL Rule – Part 2

FeeX for Advisors helps financial advisors comply with the new Department of Labor fiduciary rule regarding 401k rollovers and IRA transfers. FeeX automatically collects and analyzes the 404a5 participant fee disclosure document as its main data source and runs a … Continue reading

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Finding Fees to Satisfy DOL Rule

A question I keep hearing is “how do I determine the fees associated with the 401(k) or other retirement plans that a client currently owns?”  Good question and could be a difficult one to answer.  Here are some suggestions: Ask … Continue reading

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DOL Rule

As the effective date, June 9, 2017, rapidly approaches below is some information to keep in mind. As a “fiduciary” to a plan or a participant governed by ERISA’S prudent man rule and duty of loyalty, an advisor must engage … Continue reading

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DOL Rule Prohibited Transaction Exemptions

From Fred Reish  Fred’s last post (Angles #44) discussed the requirements of ERISA’s prudent man rule and of the best interest standard of care for IRAs and plans. This article outlines the requirements of the two prohibited transaction exemptions that will … Continue reading

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