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Safe Harbors and Exclusions in the DOL's Fiduciary Rule

Some guidelines for determining when a communication qualifies as investment advice.

W. Scott Simon is a principal at Prudent Investor Advisors, a registered investment advisory firm. He also provides services as a consultant and expert witness on fiduciary issues in litigation and arbitrations. Simon is the recipient of the 2012 Tamar Frankel Fiduciary of the Year Award.


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