AE Leads the Way

DOL Update

Changes to DOL Overtime Rule

As you are aware, the Department of Labor’s new overtime rules were scheduled to take effect Dec. 1, raising the salary threshold for overtime pay from $455 per week ($23,660 annually) to $913 per week ($47,476 annually)...


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 - December 2016

Presented 12/9/16


SEC pick Jay Clayton is a 180 from Chairman Mary Jo White

January 5, 2017

Donald Trump’s nomination of veteran Wall Street lawyer Jay Clayton to lead the Securities and Exchange Commission is  expected to end the streak of aggressive regulators and litigators overseeing the country’s top markets cop.

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Bills to expand accredited-investor pool, reform retirement savings, protect seniors poised to return in 2017

December 23, 2016

Legislation that would expand the pool of investors eligible to buy unregistered securities, make it easier to put annuities in 401 (k) retirement plans and stop a Treasury Department rule changing estate valuations are likely to be revived in 2017 after dying in this year’s Congress.  

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SEC’s Mary Jo White to step down when President Obama leaves office

November 15, 2016

Mary Jo White has stepped to the front of the line of financial regulators moving aside for Donald Trump’s administration.

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DOL rule withstands court challenge

November 7, 2016

The Department of Labor has scored a small victory, with a federal judge rejecting one of several legal challenges to the agency’s fiduciary rule, the Wall Street Journal reports.

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Advisers still baffled by key rule changes to Social Security claiming strategies

November 3, 2016

One year after the Bipartisan budget Act of 2015 was signed into law on Nov. 2, financial advisers continue to be baffled by how to help their clients maximize their Social Security benefits under the new claiming rules.

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The Lead The Way Initiative


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.


Gifting Laws

December 18, 2015

On the subject of gifting, we wanted to remind you that there are substantial differences between the insurance standard and the securities standard. While securities regulations allow for gifts of up to $100 per year per client, insurance standards are lower in many cases and should always be taken into consideration. If the sale of an insurance product is contemplated or involved in your sales practice, you will need to adhere to the lower of the two standards for gifting, either insurance or securities.

Agent Surrogacy

July 19, 2016

Transparency is Key

April 1, 2016

Gifting Laws

December 18, 2015