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Past is Prologue: DOL Proposes to Change the Definition of “Investment Advice”

On November 3, 2023, the Department of Labor (“DOL” or “Department”) published in the Federal Register its proposed, Retirement Security Rule: Definition of an Investment Advice Fiduciary (2023 Proposal). This is the...more

BREAKING: DOL Sends New Fiduciary Rule to OMB

The Department of Labor (“DOL”) has sent a new, proposed fiduciary rule to the Office and Management and Budget (“OMB”) for review. The text of the proposal is not yet public. OMB must first conduct an interagency review...more

District Court Vacates DOL Interpretation of Investment Advice

Does combining a recommendation to take a rollover from a retirement plan with post-rollover advice mean that advice is being provided on a “regular basis” under the Department of Labor’s (“DOL”) five-part test for fiduciary...more

DOL Interprets Five-Part Investment Advice Test and Issues Final Investment Advice Prohiberisa

On December 15, 2020, the U.S. Department of Labor (the “DOL”) issued its highly anticipated final prohibited transaction class exemption for fiduciary investment advice (the “Final Exemption”). The Final Exemption, which...more

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