DOL Retirement Security Rule

Overview

In April 2024, the U.S. Department of Labor (DOL) released the final Retirement Security Rule, defining investment advice fiduciaries under ERISA and revising the 2016 Fiduciary Rule. The DOL also amended several class prohibited transaction exemptions (PTEs) for financial services firms and their representatives working with retirement investors. This course examines the details and implications of the Retirement Security Rule and PTE amendments for insurance professionals and financial planners.

Find this course for your license

License or Certification

Regulator

Objectives

explain the purpose and intent of DOL’s 2024 Retirement Security Rule and related PTE amendments
define ERISA’s expectation of the functions and responsibilities of those who have fiduciary status
describe what is—and is not—considered “investment advice”
explain what a prohibited transaction is under ERISA and the role that prohibited transaction exemptions (PTEs) play under DOL’s 2024 Retirement Security Rule
cite the prohibited transaction exemption (PTE) changes that affect fixed and variable annuities that are recommended or sold for qualified plans or IRAs

Designed For:

Life and health insurance producers and finance professionals

Course Information

Adding additional credit may change exam requirements.

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