This is the first in our series of bulletins on the impact of the Department of Labor’s (DOL) Final Regulation on service provider disclosure under ERISA Section 408(b)(2). In our bulletin released February 3, we described the major changes between the Final Regulation and the Interim Final Regulation issued in July 2010. In this bulletin, we discuss the impact of those changes on Registered Investment Advisers (RIAs). (For background purposes, you can refer to our alert describing the impact of the Interim Final Regulation.)
Click on the PDF link below to view the full bulletin.