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 - July 2016

Presented 8/19/16


SEC ‘temporary’ principal trading rule to expire

August 24, 2016
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The Securities and Exchange Commission will let a rule that eases principal trading requirements for certain financial advisers expire at the end of the year.

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DOL fiduciary rule: On a collision course with the law?

August 23, 2016

If the Department of Labor’s final fiduciary rule were an infrastructure project, perhaps the best analogy would be to a catastrophically leaky dam.

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Finra wants to up annual gift limit to $175

August 11, 2016

Finra proposed increasing to $175 from $100 the amount that a registered representative can spend on an individual per year, and is seeking other updates to its gifts, gratuities and non-cash compensation rules.

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4 versions of the Best Interest Contract Exemption

August 2, 2016
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During a comprehensive presentation on the Department of Labor’s fiduciary rule, attorney Marcia Wagner called the regulation “the most significant and groundbreaking rulemaking to ever emerge” from the DOL.

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DOL overtime rule could raise employment costs for support staff

July 28, 2016
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A Labor Department regulation that will go into effect later this year could increase employment costs for some financial advice firms, possibly forcing them to limit excess employee hours or curtail hiring plans.

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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
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Transparency is Key

April 1, 2016

Gifting Laws

December 18, 2015
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