Navigating the DOL's New Fiduciary Rules: A Game Plan for Broker-Dealers

January 06, 2017

Dechert partners K. Susan Grafton and Andrew Oringer co-authored this article which focuses on the new and amended fiduciary investment advice regulations issued by the U.S. Department of Labor (DOL) and accompanying prohibited transaction exemptions (Final Rules), from the perspective of broker-dealers and their registered representatives who provide investment advisory services (Financial Advisors).

Read "Navigating the DOL's New Fiduciary Rules: A Game Plan for Broker-Dealers."