Fred Reish on PTEs

Best Interest Standard of Care for Advisors #68: Compliance with PTE 2020-02: Factors to Evaluate for a Rollover Recommendation...

This series focuses on the DOL’s new fiduciary “rule”, which was effective on February 16. This, and the next several, articles look at the Frequently Asked Questions (FAQs) issued by the DOL to explain the fiduciary...more

9/30/2021 / Best Interest Standard , Broker-Dealer , Department of Labor (DOL) , Fiduciary Duty , Financial Institutions , Individual Retirement Account (IRA) , Investment Adviser , Prohibited Transactions , PTEs , Regulation Best Interest , Retirement Plan

Best Interest Standard of Care for Advisors #67: Compliance with PTE 2020-02: Factors to Evaluate for a Rollover Recommendation...

The DOL “Fiduciary Rule,” FAQ 15: Factors to Evaluate for a Rollover Recommendation (Part 2) - This series focuses on the DOL’s new fiduciary “rule”, which was effective on February 16. This, and the next several, articles...more

9/21/2021 / Best Interest Standard , Broker-Dealer , Compliance , Department of Labor (DOL) , Fiduciary Duty , Financial Services Industry , Individual Retirement Account (IRA) , Investment , Investment Adviser , IRA Rollovers , Prohibited Transactions , PTEs , Securities and Exchange Commission (SEC)

Interest Standard of Care for Advisors #66: Compliance with PTE 2020-02: Factors to Evaluate for a Rollover Recommendation (Part...

The DOL “Fiduciary Rule,” FAQ 15: Factors to Evaluate for a Rollover Recommendation (Part 2) - This series focuses on the DOL’s new fiduciary “rule”, which was effective on February 16. This, and the next several, articles...more

9/15/2021 / Best Interest Standard , Broker-Dealer , Department of Labor (DOL) , Fiduciary Duty , Fiduciary Rule , Financial Institutions , Investment Adviser , Investment Management , Prohibited Transactions , PTEs , Regulation Best Interest , Regulation BI , Retirement Plan , Securities and Exchange Commission (SEC) , Standard of Conduct

Best Interest Standard of Care for Advisors #65: Compliance with PTE 2020-02: Factors to Evaluate for a Rollover Recommendation...

The DOL “Fiduciary Rule,” FAQ 15: Factors to Evaluate for a Rollover Recommendation - This series focuses on the DOL’s new fiduciary “rule”, which was effective on February 16. This, and the next several, articles look at...more

9/7/2021 / Best Interest Standard , Broker-Dealer , Compensation , Department of Labor (DOL) , Fiduciary Duty , Financial Institutions , Individual Retirement Account (IRA) , Investment Adviser , Prohibited Transactions , PTEs , Regulation Best Interest , Retirement Plan , Securities and Exchange Commission (SEC)

Best Interest Standard of Care for Advisors #63: Compliance with PTE 2020-02: Acknowledgement of Fiduciary Status

The DOL “Fiduciary Rule,” FAQ 13: Written Acknowledgement of Fiduciary Status - This series focuses on the DOL’s new fiduciary “rule”, which was effective on February 16. This, and the next several, articles look at the...more

8/25/2021 / Best Interest Standard , Broker-Dealer , Department of Labor (DOL) , Fiduciary Duty , Fiduciary Rule , Financial Institutions , Investment Adviser , Investment Management , Prohibited Transactions , PTEs , Regulation Best Interest , Regulation BI , Retirement Plan , Securities and Exchange Commission (SEC) , Standard of Conduct

Best Interest Standard of Care for Advisors #61: Interim Compliance with PTE 2020-02: The Impartial Conduct Standards

The DOL “Fiduciary Rule,” FAQ 11: The Impartial Conduct Standards - This series focuses on the DOL’s new fiduciary “rule”, which was effective on February 16. This, and the next several, articles look at the Frequently...more

8/10/2021 / Best Interest Standard , Broker-Dealer , Business Conduct Standards , Department of Labor (DOL) , Employee Retirement Income Security Act (ERISA) , Fiduciary Duty , Financial Institutions , Individual Retirement Account (IRA) , Investment Adviser , Investment Management , Prohibited Transactions , PTEs , Retirement Plan

Best Interest Standard #60: Compliance with PTE 2020-02

The DOL “Fiduciary Rule,” FAQ 10: The PTE Conditions - This series focuses on the DOL’s new fiduciary “rule”, which was effective on February 16. This, and the next several, articles look at the Frequently Asked Questions...more

7/27/2021 / Best Interest Standard , Compliance , Department of Labor (DOL) , Fiduciary Duty , Financial Institutions , Individual Retirement Account (IRA) , Investment Adviser , Prohibited Transactions , PTEs , Regulation Best Interest , Retirement Plan , Securities and Exchange Commission (SEC)