Transactions between an investment management firm and investment funds managed by a qualified professional asset manager (QPAM) as an option under a retirement plan satisfy a Prohibited Transaction ...

No matter if an adviser is a flat-fee registered investment adviser or a commission-based broker/dealer, the DOL says the collection of compensation related to rollover guidance is almost always going ...

The DOL’s new fiduciary advice rule, effective September 23, 2024, will cause many one-time recommendations to be fiduciary advice. As a result, many more recommendations to retirement ...