AE Leads the Way


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


Beyond BrokerCheck: SEC adds online adviser search tool

May 7, 2018

The SEC has added an online search feature to its 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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SEC reluctantly votes to push best interest proposals forward

April 19, 2018

The SEC commissioners pushed through a proposal package that would establish a best interest standard for broker/dealers and restrict brokers from using the titles “advisor” or “adviser.”    

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Fifth Circuit Court of Appeals vacates DOL fiduciary rule

March 16, 2018

The Fifth Circuit Court of Appeals vacated the Labor Department’s fiduciary rule in a split decision announced late Thursday afternoon, overturning a Dallas district court that was just as adamant in upholding the measure.

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Finra releases proposal to relieve broker-dealers of supervision of unaffiliated RIAs

February 28, 2018

Brokerage firms would not have to supervise work their registered representatives do for unaffiliated registered investment advisers under a Finra proposal released this week.

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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.


Mailhouse Compliance

March 20, 2017

Regulatory Oversight

March 29, 2017

Mailhouse Compliance

March 20, 2017

Transparency is Key

April 1, 2016