Conflict of Interest Proposed Rule - Historical Information

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

• Comments on Proposed Rule
• Comments on Exemption Proposals
• Notice of Hearing and Extension of Comment Period
• Public Hearing Agenda
• Public Hearing
• Announcement of Transcript Availability and Comment Period Closing Date
  The comment period closed September 24, 2015

• Classifying Portfolio Volatility
  Michael J. Brien and Constantijn W.A. Panis, 2013 | Full Report
• Review of Study by Quantria Strategies, LLC
  Constantijn W.A. Panis, 2014 | Memorandum
• Financial Asset Holdings of Households in the United States: 2014 Update
  Constantijn W.A. Panis and Michael J. Brien, 2014 | Full Report
• Impacts of Conflicts of Interest in the Financial Services Industry
  Jeremy Burke, Angela A. Hung, Jack W. Clift, Steven Garber, and Joanne K. Yoong, 2014 | Full Report
• Trust and Financial Advice
  Jeremy Burke and Angela A. Hung, 2015 | Full Report

• Potential Economic Effects on Individual Retirement Account Markets and Investors of DOL's Proposed Rule Concerning the Definition of a 'Fiduciary'
  Steven Garber, Jeremy Burke, Angela Hung, and Eric Talley, 2015 | Full Report
• UK RDR and US Fiduciary Reforms 2014 | Letter from David Geale, UK Financial Conduct Authority, Head of Savings, Investments, & Distribution, to Joseph Piacentini, EBSA Chief Economist
• 401(K) Plans: Response to Statements Concerning GAO's March 2013 Report on Rollovers in Quantria Report
  U.S. Government Accountability Office, 2014 | Letter from Charles A. Jeszeck, Director, GAO Education, Workforce, and Insurance Security Team to the Honorable George Miller, Ranking Member, House Committee on Education and the Workforce

Additional Research Papers released Aug. 26, 2015

• Comments on a Review of a White House Report on Conflicted Investment Advice
  Constantijn W.A. Panis, 2015 | Report
• Financial Advice Markets: a Cross-Country Comparison
  Jeremy Burke and Angela A. Hung, 2015 | Report
• Effective Disclosures in Financial Decision Making
  Angela A. Hung, Min Gong, and Jeremy Burke, 2015 | Report

Requests for Supplementary Information

• Letter to David T. Bellaire, Esq., Financial Services Institute, Inc.
• Letter to Kenneth E. Bentsen, Jr., Securities Industry and Financial Markets Association
• Letter to Kent A. Mason, Davis & Harman, LLP