DOL Rule for RIAs

I am wondering what everyone's plan is for 4/10/17 regarding the DOL rule for RIA clients? With all of the confusion around the DOL rule, I am looking for some guidance/templates on what is going out by 4/10 and what you will have ready by 1/1/18? And then the question of what about all of the accounts opened between 4/10/107 and 1/1/18 (full compliance date)?

Any guidance would be helpful.


  • edited May 2017
    Well the news of the day Stephanie is that the DOL's proposed rule delaying the April 10th date has cleared the Office of Management and Budget. Next stop should be its public release.

    As RegComplianceWatch has reported, this would be a proposed rule. So a short comment period would be needed to release a final rule prior to April 10th, delaying the rule's applicability date.

    Stay tuned, Carl

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