The information contained on these pages is provided for historical context.
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Regulation and Exemptions
- Definition of the Term "Fiduciary" & Related Exemptions
- Definition of the Term “Fiduciary” and Related Exemptions – Extension of Transition Period
- Definition of the Term “Fiduciary” and Related Exemptions - Request for Information
- Definition of the Term "Fiduciary" & Related Exemptions – Delay of Applicability Dates
- Federal Register Notice - Final
- Federal Register Notice - Proposed
- Public Comments
- Enforcement Policies
- Presidential Memorandum on the Fiduciary Duty Rule
- Final Rule
- Best Interest Contract Exemption (Corrected)
- Class Exemption for Principal Transactions (Corrected)
- 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
* See Federal Register Notice – Final for all amended applicability dates.
Related Documents
- Conflict of Interest Rule and Exemptions FAQs
- Regulatory Impact Analysis