DOL’s Fiduciary Rule Proposal

SIFMA provides supplemental comments to Employee Benefits

Security Administration (EBSA) as a follow-up to the August 10, 2015 Hearing on

Definition of the Term “Fiduciary”; Conflict of Interest Rule-Retirement

Investment Advice and Related Proposed Prohibited Transaction Exemptions.

See Also:

United States Department of Labor: Conflict of Interest Proposed Rule

See Also:

• The Fiduciary Rule Itself
• Best Interest Contract Exemption (BIC exemption)
• Principal Transactions
• Prohibited Transaction Class Exemption (“PTCE”) 86-128
• Prohibited Transaction Class Exemption (“PTCE”) 84-24
• Prohibited Transaction Class Exemption (“PTCE”) 75-1, Part V
• Additional Exemptions
• Asset Management Group
• NERA Analysis: Comment on the Department of Labor Proposal and Regulatory Impact Analysis
• Deloitte Report on the Anticipated Operational Impacts to Broker-Dealers of the Department of Labor’s Proposed Conflicts of Interest Rule Package
• NERA Memo to SIFMA: Answers to Questions Regarding NERA’s “Comment on the Department of Labor Proposal and Regulatory Impact”
• SIFMA Submits Comments to EBSA Regarding Questions on Deloitte’s Report on the Anticipated Operational Impacts to BDs of the DOL Fiduciary Rule Proposal
• SIFMA Submits Supplemental Comments to EBSA in Regards to the DOL’s Fiduciary Rule Proposal (Follow-up to August Hearing)