Beyond the DOL Rule - A Look at SEC Expectations for Advisers Managing Retirement Accounts

The fate of the Department of Labor’s (“DOL”) Conflicts of Interest rule (the “DOL Rule”) is uncertain. However, regardless of whether the rule gets delayed or repealed, the Securities and Exchange Commission (“SEC”) continues to focus on the services being provided by investment advisers to retirement investors and seniors, along with the fees paid by such clients.

 

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