Fiduciary Rule definition

Fiduciary Rule has the meaning set forth in Section 11.10(b)(ii).
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Fiduciary Rule has the meaning assigned to such term in Section 3 of this Indenture Supplement.
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Fiduciary Rule. The Department of Labor regulations promulgated at 29 C.F.R. Section 2510.3-21 on April 8, 2016 (81 Fed. Reg. 20,997).
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Examples of Fiduciary Rule in a sentence

  • The Dealer further acknowledges that the Dealer Manager is not considered an investment advice fiduciary pursuant to the DOL Fiduciary Rule with respect to advice provided to the Dealer’s “Retirement Customers,” which include a plan, plan fiduciary, plan participant or beneficiary, XXX, or XXX owner subject to Title I of ERISA or Section 4975 of the Internal Revenue Code of 1986, as amended (the “Code”).

  • Broker-Dealer and Agency shall comply, and shall require its Representatives to comply, with all Applicable Law, including federal and state securities and insurance laws, rules and regulations, the DOL Fiduciary Rule and any applicable PTE, governing the disclosure of compensation with respect to insurance products, including insurance products considered to be securities under any such laws, rules, or regulations.

  • These representations are intended to comply with 29 C.F.R. Sections 2510.3-21(a) and (c)(1) of the Fiduciary Rule.

  • Broker-Dealer and Agency each also acknowledge and agree that their compliance with the DOL Fiduciary Rule does not obviate the requirement to comply with any other Applicable Law.

  • Broker-Dealer acknowledges and agrees that this paragraph shall apply to recommendations involving a Covered Account, as defined in Section 10 of this Agreement, notwithstanding compliance with the DOL Fiduciary Rule, unless such recommendations are otherwise excepted or excluded from the scope of the FINRA Rules and state insurance and securities departments' requirements referenced in this paragraph.

  • If these sections of the Fiduciary Rule are revoked, repealed or no longer effective, these representations shall be deemed to be no longer in effect.

  • The Fiduciary Rule includes requirements that the firm: i) Act in the client’s best interest; ii) Accept no more than reasonable compensation; and iii) Make no misleading statements.

  • The CCO is ultimately responsible for monitoring compliance with the provisions of this Code and receives day-to-day assistance from the firm’s other compliance staff.With respect to retirement investors in the United States, e.g. ERISA Plans, IRA accounts etc., Gryphon International is subject to the Department of Labor Fiduciary Rule, including the Impartial Conduct Standards effective June 9, 2017.

  • Broker-Dealer and Agency acknowledge and agree that nothing in this Agreement shall cause or require the Company or LFD to provide any investment advice or recommendation, or otherwise act as an "investment advice fiduciary," as defined in the DOL Fiduciary Rule, with respect to any Covered Account that acquires or holds a Policy or that uses its assets to purchase or fund a Policy.

  • You understand and acknowledge that such written or oral communications that may be considered “investment advice” (within the meaning of that term in the Fiduciary Rule) will not cause us to be considered a fiduciary within the meaning of Section 3(21)(A)(ii) of ERISA and the Fiduciary Rule if you are, or are acting on behalf of, a Retirement Customer.


More Definitions of Fiduciary Rule

Fiduciary Rule has the meaning given to such term in Section 14(c).
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Related to Fiduciary Rule

  • Fiduciary has the meaning set forth in ERISA Sec. 3(21).

  • Regulation CF means Regulation Crowdfunding promulgated under the Securities Act.

  • Family relationship means a relationship between a person and another person within the third degree by consanguinity or the second degree by affinity, as those terms are defined by Subchapter B, Chapter 573, Texas Government Code.

  • Fixing Sponsor means the Fixing Sponsor as specified in § 1 of the Product and Underlying Data.

  • Unsecured Protected Health Information means protected health information that is not secured by a technology standard that renders protected health information unusable, unreadable, or indecipherable to unauthorized individuals and is developed or endorsed by a standards developing organization that is accredited by the American National Standards Institute.