The materials found on this page will be made available in alternative format to persons with disabilities upon request.
- Comments on Conflict of Interest Proposed Rule
- Comments on Conflict of Interest Exemption Proposals
- 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
- 2010 Proposal
- Class Exemptions
- Regulatory Impact Analysis
- News Release
If you want to obtain a copy of the court reporter's official transcript, you should contact Heritage Reporting Company, at (202) 628-4888. Also, please be advised that, as with all unedited transcripts, there might be errors in this transcript. Therefore, the transcript should not be quoted without checking with the speaker for confirmation of the quote.
- Alicia H. Munnell, Anthony Web
August 6, 2015 - AARP
David Certner
August 7, 2015 - James D. Keeney
August 7, 2015 - InvestSense, LLC Forensic Fiduciary Analysis
James W. Watkins, III
August 7, 2015 - Financial Planning Coalition
Marilyn Mohrman-Gillis, V. Raymond Ferrara
August 10, 2015 - Financial Services Roundtable
Felicia Smith
August 10, 2015 - Groom Law Group Chartered
Stephen M. Saxon, Thomas Roberts
August 10, 2015 - Arthur B. Laby
August 11, 2015 - Ron A. Rhoades
August 11, 2015 - Jonathan Reuter
August 11, 2015 - TIAA-CREF
Edward Moslander
August 12, 2015 - 3ethos
Donald B. Trone
August 12, 2015 - Investment Company Institute
David W. Blass
August 12, 2015 - Investment Company Institute
Sean Collins
August 12, 2015 - Better Markets
Stephen Hall
August 12, 2015
- Save Our Retirement
Setting the Record Straight on the Industry's Unworkable Claims
August 12, 2015 - Better Markets
Fact Sheet: Don't Fall for SIFMA's Spin Campaign
August 12, 2015 - Better Markets
Fact Sheet: Don't Fall for Chamber of Commerce's Misleading Small Business Claims
August 12, 2015 - Farmer's Insurance
Joe Wimpee
August 12, 2015 - Russell Investments
Jean-David Larson
August 12, 2015 - Pension Rights Center
Maria Freese
August 12, 2015 - America's Health Insurance Plans and Blue Cross Blue Shield Association
Jon Breyfogle
August 12, 2015 - American Bankers Association
Gerald P. Cleary
August 12, 2015 - Raymond James
Scott Stolz
August 12, 2015 - Association for Advanced Life Underwriting
Caleb Callahan
August 12, 2015 - Benjamin F. Cummings
August 12, 2015 - Center for American Progress
Joe Valenti
August 12, 2015
- Mercer Bullard
August 13, 2015 - National Active and Retired Federal Employees Association (NARFE)
Richard G. Thissen
August 13, 2015 - The Committee for the Fiduciary Standard
Kathleen M. McBride
August 13, 2015 - Managed Funds Association
Stuart Kaswell
August 13, 2015 - American Society of Appraisers
Jeffrey S. Tarbell
August 13, 2015 - CFA Institute
Linda Rittenhouse
August 13, 2015 - U.S. Securities Markets Coalition
Gary Katz
August 13, 2015 - PIABA
Joseph Peiffer
August 13, 2015 - PIABA Press Release
August 13, 2015 - Appraisal Institute
J. Scott Robinson
August 13, 2015 - Financial Engines
Christopher Jones
August 13, 2015 - Indexed Annuity Council
Jim Poolman
August 14, 2015 - Insured Retirement Institute
Nick Lane
August 17, 2015 - Weyn LLC
Ida Byrd-Hill
August 18, 2015
- American Retirement Association
June 16, 2015 - Don Trone
June 20, 2015 - American Society of Appraisers
July 7, 2015 - Scott Puritz
July 7, 2015 - Ron A. Rhoades
July 15, 2015 - James D. Keeney
July 16, 2015 - Voya Financial Inc.
Sean Cassidy
July 17, 2015 - Empower Retirement
Robert Holcomb
July 20, 2015 - Securities Industry and Financial Markets Association – Rule
Kenneth E. Bentsen, Jr.
July 20, 2015 - Investment Company Institute – Rule and Exemptions
David M. Abbey
July 20, 2015 - Investment Company Institute – Regulatory Impact Analysis
David M. Abbey
July 20, 2015 - Alternative and Direct Investment Securities Association
John P. Harrison
July 21, 2015 - Consumer Federation of America
Barbara Roper
July 21, 2015 - American Bankers Association
Timothy E. Keehan
July 21, 2015 - Stifel Financial Corp.
Ronald J. Kruszewski
July 21, 2015 - The Committee for the Fiduciary Standard
Kate McBride
July 22, 2015 - Investment Program Association
Kevin Shields
July 22, 2015 - Center for American Progress
Joe Valenti
July 22, 2015 - Mercer Bullard
July 22, 2015 - Fidelity Investments
Douglas O. Kant
July 22, 2015 - The Association for Advanced Life Underwriting
Caleb J. Callahan
July 22, 2015 - Public Citizen
Bartlett Naylor
July 22, 2015 - The Committee on Investment of Employee Benefit Assets
Deborah K. Forbes
July 22, 2015 - Indexed Annuity Leadership Council
Jim Poolman
July 22, 2015 - Financial Engines
David Weiskopf
July 23, 2015 - Raymond James Financial, Inc.
Matthew Watts
July 23, 2015 - Plan Sponsor Council of America
July 23, 2015 - AARP
David Certner
July 23, 2015
- TIAA-CREF
Larry M. Chadwick
July 23, 2015 - Janney Montgomery Scott LLC
Gregory B. McShea
July 23, 2015 - Ida Byrd-Hill
July 23, 2015 - Anthony Webb
July 23, 2015 - Primerica, Inc.
Karen Sukin
July 23, 2015 - Bond Dealers of America
Jessica Giroux
July 23, 2015 - AFL-CIO
Shaun C. O'Brien
July 23, 2015 - Davis & Harman
Kent A. Mason
July 23, 2015 - The Capital Group Companies
Jason Bortz
July 23, 2015 - Jonathan Reuter
July 24, 2015 - Antoinette Schoar
July 24, 2015 - Michael Finke
July 24, 2015 - America's Health Insurance Plans and Blue Cross Blue Shield Association
Thomas J. Wilder
Justine Handelman
July 24, 2015 - Benjamin F. Cummings
July 24, 2015 - Financial Services Institute
David T. Bellaire
July 24, 2015 - Jennifer Knoll
July 24, 2015 - National Association of Insurance and Financial Advisors
Juli McNeely
July 24, 2015 - Patricia Schumacher
July 24, 2015 - Financial Services Roundtable
Richard Foster
July 24, 2015 - Appraisal Institute
July 24, 2015 - Hilliard Lyons
James R. Allen
July 24, 2015 - Groom Law Group
Stephen M. Saxon
Jennifer E. Eller
July 24, 2015 - Arthur B. Laby
July 24, 2015 - The SPARK Institute, Inc.
Tim Rouse
July 24, 2015 - Martin Neil Baily
July 24, 2015 - Direct 401k LLC
Claiborne B. "Chip" Morton III
July 24, 2015 - The Committee of Annuity Insurers
Joseph F. McKeever
Michael L. Hadley
July 24, 2015 - Ameriprise Financial
Theresa Seys
July 24, 2015 - U.S. Securities Markets Coalition
Joseph P. Corcoran
July 24, 2015
- Financial Planning Coalition
Kevin R. Keller
Lauren Schadle
Geoffrey Brown
July 24, 2015 - American Council of Life Insurers – Rule and Exemptions
James H. Szostek
July 24, 2015 - American Council of Life Insurers – Regulatory Impact Analysis
James H. Szostek
July 24, 2015 - Better Markets
Dennis M. Kelleher
July 24, 2015 - U.S. Chamber of Commerce – Rule, Exemptions and Regulatory Impact Analysis
Randel Johnson
David Hirschmann
July 24, 2015 - Wells Fargo & Company
Robert J. McCarthy
July 24, 2015 - Pension Rights Center
Maria Freese
July 24, 2015 - Public Investors Arbitration Bar Association (PIABA)
Joe Peiffer
July 24, 2015 - Managed Funds Association
Stuart J. Kaswell
July 24, 2015 - Securities Industry and Financial Markets Association – Regulatory Impact Analysis
Kenneth E. Bentsen, Jr.
July 24, 2015 - Insured Retirement Institute
Catherine J. Weatherford
July 24, 2015 - Americans for Financial Reform
Marcus Stanley
July 24, 2015 - Franklin Square Holdings, L.P.
Eric H. Edwards
July 24, 2015 - National Active and Retired Federal Employees Association
Richard G. Thissen
July 24, 2015 - Russell Investments
Jean-David Larson
July 24, 2015 - Farmers Financial Solutions on behalf of Farmers Insurance
Matt Gannon
July 24, 2015 - RBC Capital Markets, LLC
John Taft
July 24, 2015 - Garrett Planning Network
Sheryl Garrett
July 24, 2015 - Penn Mutual Life Insurance Company
Eileen C. McDonnell
July 24, 2015 - American Benefits Council
Lynn Dudley
July 27, 2015 - CFA Institute
James C. Allen
August 3, 2015 - Joe Collins
August 3, 2015
To submit a comment use one of the following methods: Email: e-ORI@dol.gov and include RIN 1210-AB32 in the subject line of the message; Federal eRulemaking Portal: regulations.gov, follow instructions for submitting comments; or Mail or Hand Delivery/Courier: Office of Regulations and Interpretations, Employee Benefits Security Administration, Attn: Conflict of Interest Rule, Room N-5655, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210. The comment period will close September 24, 2015.
Copies of public documents are also available upon request from EBSA's Public Disclosure Room. Send requests for copies of documents to:
U.S. Department of Labor
Employee Benefits Security Administration
Public Disclosure Room
200 Constitution Avenue, NW, Suite N-1515
Washington, DC 20210
Tel (202) 693-8673
Learn more about how to request documents from the Department of Labor in the EBSA publication How to Obtain Employee Benefit Documents from the Department of Labor.