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 - August 2016

Presented 8/19/16

LATEST NEWS

Kansas judge hears lawsuit seeking to throw out DOL rule

September 22, 2016
46446970 - old legal books spanish barristers law reports in spain on bookshelf in real life solicitors law attorneys office library.

U.S. District Court Judge Daniel Crabtree heard testimony for about 3.5 hours today on Market Synergy Group’s lawsuit challenging the Department of Labor’s controversial fiduciary rule.

Read More

House committee passes bill to reverse Dodd-Frank, DOL rule

September 15, 2016
313796-uscapitol-90

The House Financial Services Committee passed the Financial CHOICE Act Tuesday in a party line vote. The sweeping financial reform bill seeks to replace the Dodd-Frank Act and kill the Department of Labor’s fiduciary rule.  

Read More

Show us your social media addresses, says SEC

September 7, 2016
44537944 - kiev, ukraine - august 22, 2015:collection of popular social media logos printed on paper:facebook, twitter, google plus, instagram, pinterest, skype, youtube, linkedin and others on wooden background

The SEC has made an amendment to Form ADV to make advisors provide not only their website addresses, but also their social media pages.

Read More

SEC hot-button topics that advisers need to know about

August 30, 2016
sec_logo_securities_and_exchange_commission

If you’re an adviser, compliance with Securities and Exchange Commission regulations has to be top of mind at all times.

Read More

SEC ‘temporary’ principal trading rule to expire

August 24, 2016
47332395 - photo alarm clock,  arrow close to12 hours

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.

Read More

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

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
Screen Shot 2016-07-19 at 6.54.53 PM

Transparency is Key

April 1, 2016
trans

Gifting Laws

December 18, 2015
Screen Shot 2016-06-02 at 2.15.40 PM