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DOL/EBSA RIN: 1210-AB32 Publication ID: Fall 2013 
Title: Conflict of Interest Rule-Investment Advice 
Abstract: This rulemaking would reduce harmful conflicts of interest by amending the regulatory definition of the term "fiduciary" set forth at 29 CFR 2510.3-21 (c) to more broadly define as fiduciaries employee benefits plans and individual retirement accounts (IRAs) those persons who render investment advice to plans and IRAs for a fee within the meaning of section 3(21) of the Employee Retirement Income Security Act (ERISA) and section 4975(e)(3) of the Internal Revenue Code. The amendment would take into account current practices of investment advisers and the expectations of plan officials and participants and IRAs owners who receive investment advice, as well as changes that have occurred in the investment marketplace and in the ways advisers are compensated that frequently subject advisers to harmful conflicts of interest. 
Agency: Department of Labor(DOL)  Priority: Economically Significant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Yes  Unfunded Mandates: No 
CFR Citation: 29 CFR 2510.3-21(c) 
Legal Authority: 29 USC 1002; ERISA sec 3(21); 29 USC 1135; ERISA sec 505 
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  10/22/2010  75 FR 65263 
NPRM Comment Period End  01/20/2011   
Second NPRM  08/00/2014   
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Jeffrey J. Turner
Deputy Director, Office of Regulations and Interpretations
Department of Labor
Employee Benefits Security Administration
N 5669, 200 Constitution Avenue NW., Room N-5655, FP Building,
Washington, DC 20210
Phone:202 693-8500

 
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