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  1. Skills
  2. /
  3. joellewis
  4. /
  5. finance_skills
  6. /
  7. Fiduciary Standards

Fiduciary Standards

Editor's Note

This one helps you navigate whether a fiduciary duty applies and what it actually requires across different contexts: IA Act Section 206, ERISA retirement plans, DOL rollover rules, and state standards. It breaks down the SEC's 2019 interpretation of duty of care versus duty of loyalty, explains the ERISA prudent expert standard, and compares fiduciary duty against Reg BI and suitability. Use it when you're building compliance programs for dual registrants, evaluating rollover recommendations under PTE 2020-02, or just need to answer "are we a fiduciary here" with specifics. The layer 9 classification tells you this is compliance guidance, not legal advice.

Install

npx skills add https://github.com/joellewis/finance_skills --skill fiduciary-standards
Votes
0
Installs214
GitHub Stars114
Categories
Finance & Trading
First SeenJun 3, 2026
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