Jay Dorsch

Jay Dorsch

Cozen O'Connor

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DOL Fiduciary Rule Taking Effect June 9 Is Low-Calorie, But Still Hard for Some to Swallow

Though many in the financial services industry were hoping for a reprieve, anyone who receives compensation for providing investment advice in connection with an ERISA plan or IRA will be considered a fiduciary effective June...more

6/5/2017  /  Best Interest Contract Exemptions , Department of Labor (DOL) , Employee Retirement Income Security Act (ERISA) , Fiduciary Rule , Financial Services Industry , Individual Retirement Account (IRA) , PTEs

DOL Issues Re-Proposed Regulations Defining Investment Advice Fiduciary and Proposes New PTEs

The U.S. Department of Labor (DOL) issued long awaited re-proposed regulations governing fiduciary status and investment advice titled “Definition of the Term ‘Fiduciary’; Conflict of Interest Rule—Investment Advice” for...more

5/5/2015  /  Department of Labor (DOL) , Employee Retirement Income Security Act (ERISA) , Fiduciary Duty , Financial Industry Regulatory Authority (FINRA) , Individual Retirement Account (IRA) , Investment Adviser , Pensions , PTEs , TPAs
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