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ARTICLE · 21 FEBRUARY 2012

The Final 408(b)(2) Regulation: Impact On RIAs

This is the first in our series of bulletins on the impact of the Department of Labor’s (DOL) Final Regulation on service provider disclosure under ERISA Section 408(b)(2).

United StatesEmployment and HR

This is the first in our series of bulletins on the impact of the Department of Labor's (DOL) Final Regulation on service provider disclosure under ERISA Section 408(b)(2). In our bulletin released February 3, http://www.drinkerbiddle.com/files/ftpupload/PDF/FinallytheFinal.pdf , we described the major changes between the Final Regulation and the Interim Final Regulation issued in July 2010. In this bulletin, we discuss the impact of those changes on Registered Investment Advisers (RIAs). (For background purposes, you can refer to our alert describing the impact of the Interim Final Regulation, which is available at http://www.drinkerbiddle.com/files/ftpupload/PDF/408(b)(2)ImpactonRegisteredInvestmentAdvisers.pdf on the firm website.)

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