transcript   Transcript

Dual-Registrant Advice in the Retirement Marketplace

Recorded on: Feb. 10, 2017
Running Time: 01:12:06

Full Transcript:

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Taken from the Web Program Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants recorded February, 2017 in New York.

Dual-Registrant Advice in the Retirement Marketplace [01:12:06]
  • DOL’s Fiduciary Rulemaking
  • What it means to be an ERISA fiduciary
  • IRA rollovers
  • Preparing for a DOL audit
Jason C. Roberts

The purchase price of this segment includes the following article from the Course Handbook available online:

  • DOL Fiduciary Rule: Impact Analysis & Action Items for Dual-Registrants (December 11, 2016)
    Jason C. Roberts

Presentation Material

  • Dual-Registrant Advice & DOL Fiduciary Rule
    Jason C. Roberts
Jason C Roberts ~ Chief Executive Officer, Pension Resource Institute, LLC
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