DOL - Frequently Asked QuestionsGet 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...
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.
The SEC has added an online search feature to its Investor.gov website that enables investors to check whether advisers have a judgment or order entered against them in an enforcement action.Read More
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.Read More
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.”Read More
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.Read More
Brokerage firms would not have to supervise work their registered representatives do for unaffiliated registered investment advisers under a Finra proposal released this week.Read More
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.