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The Steps to DOL Fiduciary Rule Compliance

The Steps to DOL Fiduciary Rule Compliance

Posted By: Kaplan Financial Education
Updated: July 28, 2017

 

The DOL fiduciary standard rule aims to ensure that financial advice is in the best interest of retirement investors. As a financial professional, how are you preparing for this rule which takes effect on June 9, 2017?

We've devised a couple of potential paths for you to ensure compliance with the DOL fiduciary standard rule. Both Investment Adviser Representatives (IARs) and CFP® Professionals are already held to a fiduciary or "best interest" standard, and therefore, are both good options as the financial industry evolves with this new rule. 

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Ready to get your CFP® certification or Series 65 or Series 66 license to ensure compliance with the DOL Fiduciary Rule? Enroll today in one of Kaplan Financial Education's securities licensing and CFP® exam prep programs now.