AE Leads the Way

Webcast Series

DOL Outlook: Your Guide to the New Fiduciary Rule

Through an ongoing series of webcasts over the next few months, Advisors Excel will bring you timely updates and clarifications related to the new DOL fiduciary rule and its implementation.

AE Insight

Transparency is Key: Be Up Front About What You Offer

While this increased focus may cause concern, there are steps that can be taken that can alleviate some of the risk involved.

Recent Webinar:


DOL Outlook

Presented 6/3/16


How advisors can win with the new fiduciary rule

June 1, 2016

The final version of the fiduciary rules recently introduced by the Department of Labor will be a game-changer for many financial advisors…

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Lawsuit challenging DOL fiduciary rule to be filed Thursday: source

June 1, 2016

Several financial advice industry groups, along with the U.S. Chamber of Commerce, are ready to go to court to challenge the highly disputed fiduciary rule finalized in April by the Department of Labor, according to a source close to the matter…

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Two sides of the DOL fiduciary rule’s ‘Best Interest Contract Exemption’ advisers must understand

May 27, 2016

There are two different versions in the exemption, each with respective limitations and benefits that advisers and their institutions must master…

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Senator Warren Report on Annuity Industry

October 1, 2015

Many Americans rely on retirement investment advisers for guidance on how to save towards retirement, and most advisers have their customers’ best interests at heart…

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The Lead The Way Initiative


The Lead the Way initiative from Advisors Excel offers you the very latest in educational resources, news links and bulletins, best practices and informative explanations to help you best serve your clients and stay informed of emerging developments in the tax, legal and regulatory areas.


Gifting Laws

December 18, 2015

On the subject of gifting, we wanted to remind you that there are substantial differences between the insurance standard and the securities standard. While securities regulations allow for gifts of up to $100 per year per client, insurance standards are lower in many cases and should always be taken into consideration. If the sale of an insurance product is contemplated or involved in your sales practice, you will need to adhere to the lower of the two standards for gifting, either insurance or securities.

Transparency is Key

April 1, 2016

Gifting Laws

December 18, 2015

Responding to Complaints

October 30, 2015