Navigating the DOL's New Fiduciary Rules: A Game Plan for Broker-Dealers
45 Bloomberg BNA Tax Management Compensation Planning Journal 3 (Jan. 6, 2017)
16 Pages Posted: 6 Mar 2017
Date Written: January 6, 2017
Abstract
The new "investment advice" regulations under ERISA's fiduciary rules will have broad impact throughout the markets it affects. This article explores the impact on broker-dealers and their customers.
Suggested Citation: Suggested Citation
Grafton, K. and Oringer, Andrew L., Navigating the DOL's New Fiduciary Rules: A Game Plan for Broker-Dealers (January 6, 2017). 45 Bloomberg BNA Tax Management Compensation Planning Journal 3 (Jan. 6, 2017), Available at SSRN: https://ssrn.com/abstract=2874531
Hofstra University - Maurice A. Deane School of Law ( email )
121 Hofstra University
Hempstead, NY 11549
United States
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