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


DOL fiduciary rule: what you need to know about Acosta’s decision

May 25, 2017

Labor Secretary Alexander Acosta confirmed Monday night that the agency’s fiduciary rule will become applicable on June 9.

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What advisers should know about the Trump tax proposal

April 26, 2017

Businesses, the wealthy and average taxpayers are likely to have more money in their pockets under President Donald Trump’s tax proposal, financial advisers anticipate.    

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SEC explores ways to strengthen compliance of independent advisers

April 6, 2017

Financial advisers who are on the staff of an advisory firm are more likely to adhere to securities regulations than independent advisers, a Securities and Exchange Commission official said on Thursday.  

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DOL releases final rule delaying fiduciary implementation

April 4, 2017

The Department of Labor released a final rule Tuesday delaying the implementation of its fiduciary duty regulation.

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Will ERISA preempt state law under the fiduciary rule?

March 30, 2017

The Constitution’s Seventh Amendment assures plaintiff’s right to a trial by jury in “common law” claims that are seeing financial restitution. But in the preponderance of decisions addressing 401(k) participants’ right to jury trials, courts have ruled that claims under ERISA, which bases plan sponsors’ fiduciary requirements on trust law, are “equitable” in nature, and therefore…

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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