Regulation and Exemptions

• Final Rule
• Best Interest Contract Exemption
  • Technical Corrections
• Class Exemption for Principal Transactions
  • Technical Corrections
• Amendment to PTE 75-1, Part V
• Amendments to and Partial Revocation of PTEs 86-128 and 75-1
• Amendments to Class Exemptions 75-1, 77-4, 80-83 and 83-1
• Amendment to and Partial Revocation of PTE 84-24
• Proposed Best Interest Contract Exemption for Insurance Intermediaries

Related Documents

• Conflict of Interest Rule and Exemptions FAQs
  • Part I - Exemptions
  • Part II - Rule
  • Consumer Protections For Retirement Investors - FAQs on Your Rights and Financial Advisers
• Regulatory Impact Analysis
  • Full Report
  • Additional Regulatory Impact Analysis Documents
• Chart Illustrating Changes from DOL's 2015 Conflict of Interest Proposal to Final
• Fact Sheet: DOL Finalizes Rule to Address Conflicts of Interest in Retirement Advice, Saving Middle-Class Families Billions of Dollars Every Year