SEC Issues DOL Fiduciary Rule Guidance for Mutual Funds

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The Securities and Exchange Commission has released guidance to help mutual funds streamline the process of offering certain fee structures that are designed to achieve level compensation consistent with the Department of Labor’s fiduciary rule, which takes effect on April 10.

The seven-page guidance, issued by the Division of Investment Management in December, focuses on disclosure issues and certain procedural requirements with offering variations in mutual fund sales loads and new fund share classes.

Many advisors would love some common sense to be exercised in 2017 with respect to the DOL’s fiduciary rule.

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