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How brokers can address potential revenue conflicts under DOL fiduciary rule

April 5, 2016

How brokers can address potential revenue conflicts under DOL fiduciary rule

Common compensation streams may need to be treated differently under different regulatory structures

Apr 4, 2016 @ 12:27 pm | By Robert Cirrotti | Investment News

While the Department of Labor is expected to announce its final Conflict of Interest Rule on Wednesday, questions about whether existing compensation models satisfy current standards are also intensifying. Regulators are scrutinizing current practices as they work to change fiduciary rules.

Firms who fully understand the current environment will be in the best position to respond to new regulation. This understanding will allow them to better assess the impact of necessary changes on their business model.

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Steve Siepak
Blue Vault session at the recent National Planning Holdings National Conference
September 13, 2017

The well-attended Blue Vault session at the recent National Planning Holdings National Conference was very well received. The value of their products was evidenced by the volume of questions from the attendees. Stacy Chitty, Managing Partner, did an excellent job of explaining the history, strategy and value of Blue Vault data.