AE Leads the Way

DOL FAQ

DOL - Frequently Asked Questions

Get the answers to many of the questions surrounding the DOL Rule, including: "What is Advisors Excel doing currently to work toward implementation?", "What will the rule mean for my business practice?" and more...

Webcast Series

DOL Outlook: Your Guide to the New Fiduciary Rule

Through an ongoing series of webcasts over the next few months, Advisors Excel will bring you timely updates and clarifications related to the new DOL fiduciary rule and its implementation.

AE Insight

Transparency is Key: Be Up Front About What You Offer

Recently, insurance regulators have been increasingly focused on and concerned about producer advertising that does not paint a complete and accurate picture of the services advisors can provide.

Recent Webinar:

DOL Outlook - April 2017

Presented 4/26/17

LATEST NEWS

It’s official: DOL fiduciary rule is dead

June 21, 2018

After a long delay, the U.S. Fifth circuit Court of Appeals confirmed Thursday a March decision to strike down the Labor Department’s fiduciary rule.    

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NAIC officials hope to hammer out best interest standard

June 6, 2018

A National Association of Insurance Commissioners working group will meet in Kansas City Thursday and Friday to see if it can hammer out an annuity transactions model law.

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4 retirement reform bills you need to know about

May 21, 2018

The U.S. House of Representatives subcommittee  on Health, Employment, Labor and Pensions considered four pieces of legislation that would update the Employee Retirement Income Security Act, which subcommittee Chair Rep. Tim Walberg, R-MI, said was “beginning to show its age.”

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Beyond BrokerCheck: SEC adds online adviser search tool

May 7, 2018

The SEC has added an online search feature to its Investor.gov website that enables investors to check whether advisers have a judgment or order entered against them in an enforcement action.

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SEC releases FAQ on 12b-1 fee initiative

May 2, 2018

The Securities and Exchange Commission’s enforcement unit on Tuesday issued frequently asked questions guidance on its Share Class Selection Disclosure initiative, which provides more information about advisor eligibility, disgorgement as well as the distribution of funds to clients.

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The Lead The Way Initiative

ae-building

The Lead the Way initiative from Advisors Excel offers you the very latest in educational resources, news links and bulletins, best practices and informative explanations to help you best serve your clients and stay informed of emerging developments in the tax, legal and regulatory areas.

AE INSIGHTS

Mailhouse Compliance

March 20, 2017

Regulatory Oversight

March 29, 2017

Mailhouse Compliance

March 20, 2017

Transparency is Key

April 1, 2016