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Broker/Dealers’ Pending Paper Problem Under the DOL Fiduciary Rule  

Wealth Management; August 04 2016

In a matter of months, broker/dealers will be faced with one of the most substantial and disruptive industry changes of our time.

Not only could it mean re-navigating the way investments are handled, but there will be substantial back-office changes that must occur. According to the American Action Forum, the DOL’s final version of the fiduciary rule is estimated to cost over $31.5 billion and require nearly 57,000 paperwork-burdened hours.(http://wealthmanagement.com)

How far-reaching is the DOL fiduciary rule?

Investment News; August 3, 2016, 1:04 pm

The blurred line between retirement and non-retirement advice means advisers must be very careful when providing any financial services.

Everywhere you look, there are articles on the new DOL rules and how they will impact commissioned advisers, registered investment advisers (RIAs), fee-only advisers and their clients. While the rules apply "only" to retirement plans, this includes individual retirement accounts (IRAs) and can also reach into unanticipated areas not obvious at first glance.
(http://www.investmentnews.com)