This controversial proposal under the Pension Protection Act of 2006 would have opened a new door for firms wishing to enter the retirement plan advice arena. The Labor Department stated that it expects to introduce a revised proposal in the next few months with a new comment period to ensue.

View DOL press release

FrontLine Compliance, LLC is a regulatory compliance consulting firm of former high-level regulatory insiders offering customized services to broker-dealers, investment advisers, investment companies, hedge funds, and insurance company affiliates. Staffed by former SEC and FINRA regulators, and chief compliance officers, FrontLine Compliance provides the kind of industry knowledge, experience and expertise on regulatory issues only available from well-seasoned insiders. For more information about the firm, please visit www.frontlinecompliance.com.

FrontLine Compliance, LLC
phone: 888-518-8070
email: info@frontlinecompliance.com
www.frontlinecompliance.com
Forward to a Friend ShareThis