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DOL Removes Restrictions on Recommendations of Principal Traded Assets from Prohibited Transaction Exemption 2020-02

The US Department of Labor (DOL) amended Prohibited Transaction Exemption 2020-02 (PTE 2020-02) to provide relief for recommendations of all types of principal trades. This change, effective September 23, 2024 and subject to...more

7/5/2024  /  Department of Labor (DOL) , Fiduciary Duty , Initial Public Offering (IPO) , Investors , Popular , Prohibited Transactions , PTEs , Securities and Exchange Commission (SEC)
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