Navigating the DOL's New Fiduciary Rules: A Game Plan for Broker-Dealers

45 Bloomberg BNA Tax Management Compensation Planning Journal 3 (Jan. 6, 2017)

16 Pages Posted: 6 Mar 2017

See all articles by K. Grafton

K. Grafton

Dechert LLP

Andrew L. Oringer

The Wagner Law Group; Fordham Law School; Hofstra University - Maurice A. Deane School of Law

Date Written: January 6, 2017

Abstract

The new "investment advice" regulations under ERISA's fiduciary rules will have broad impact throughout the markets it affects. This article explores the impact on broker-dealers and their customers.

Suggested Citation

Grafton, K. and Oringer, Andrew L., Navigating the DOL's New Fiduciary Rules: A Game Plan for Broker-Dealers (January 6, 2017). 45 Bloomberg BNA Tax Management Compensation Planning Journal 3 (Jan. 6, 2017), Available at SSRN: https://ssrn.com/abstract=2874531

K. Grafton (Contact Author)

Dechert LLP ( email )

200 Clarendon Street
Philadelphia, PA 19103
United States

Andrew L. Oringer

The Wagner Law Group

747 Third Avenue
16th Floor
New York, NY 10017
United States
1-212-540-4579 (Phone)

Fordham Law School ( email )

150 West 62 Street
New York, NY 10023
United States

Hofstra University - Maurice A. Deane School of Law ( email )

121 Hofstra University
Hempstead, NY 11549
United States

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