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New DOL Fiduciary Rule - Definition of an Investment Advice Fiduciary

Topic

Professional Conduct and Regulation

Program ID

324246

Hours

1

Format

Self-Study / Recorded webinar

Complexity

Intermediate

Description

Timothy D. Hauser, Deputy Assistant Secretary of Program Operations of the Employee Benefits Security Administration, U.S. Department of Labor, will discuss the Employee Retirement Income Security Act (ERISA) fiduciary framework. He will also address the Department’s proposed Retirement Security Rule and its implications for the financial advice industry.

Learning Objectives

"o Review ERISA’s basic fiduciary structure (the basics of fiduciary status, obligations, and prohibited transactions) o Understand the Department’s proposed Retirement Security Regulation, which defines when investment recommendations count as fiduciary advice o Gain insights into the policy considerations associated with the regulation of financial advice to retirement investors "