November 09, 2016

A Practical Discussion of the DOL's New Fiduciary Rules With Investment Advisers and Broker-Dealers



You are invited to attend a discussion of the practical issues facing investment advisers and broker-dealers as a result of the DOL’s new definition of fiduciary and the new prohibited transaction exemptions such as the Best Interest Contract Exemption. Our discussion will include:

  • A checklist of issues to consider for the recommendation of rollovers
  • Real-life scenarios
  • Approaches and solutions being pursued by other investment advisers and broker-dealers

Members of our ERISA and investment management teams will lead the discussion to help you focus on the critical issues and proactively prepare for compliance.

There is no fee to participate. 

Questions? Contact Angela Wood at +1 303 607 3662 or


Faegre Baker Daniels
2200 Wells Fargo Center
90 S. Seventh Street
Minneapolis, MN 55402

Services and Industries


All times CST
7:30 a.m. - 8:00 a.m. | Registration 
8:00 a.m. - 9:30 a.m. | Program

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