- Proposed Retirement Security Rule: Definition of an Investment Advice Fiduciary
- Hearing Notice
- Hearing Agenda
- Official Hearing Transcripts: [Day 1] [Day 2]. The Department previously posted unofficial transcripts on this page on Dec. 22, 2023. It determined that the most efficient way of providing notice of the posting was through a press release and email blasts, rather than through a Federal Register notice as was stated at the hearing. Additionally, the video recordings below were made available on this page on Dec. 19, 2023.
- Hearing Video: The Department is making available video recordings and informal computer-generated transcription of each day of the public hearing, in advance of posting the hearing transcript prepared by the court reporter. Only the court reporter’s signed hearing transcript will contain the official record of the hearing.Day 1Day 2
- Public Comments
These comments will be made available in alternative format to persons with disabilities upon request.
Written Testimony
- Kathleen M. McBride
December 12, 2023
- Chantel Sheaks on behalf of U.S. Chamber of Commerce
December 12, 2023
- Ron A. Rhoades
December 12, 2023
Written Requests to Testify at Public Hearing
- American Retirement Association
Brian Graff
November 17, 2023 - The Committee of Annuity Insurers
Michael Hadley
November 20, 2023 - Ron A. Rhoades
November 22, 2023 - Dana M. Muir
November 22, 2023 - Davis & Harman, LLP
Kent Mason
November 24, 2023 - Cetera Financial Group
Mark Quinn
November 25, 2023 - Investment Company Institute
Elena Barone Chism
November 27, 2023 - National Association of Insurance and Financial Advisors
Bryon Holz, Charles Ross, Sr.
November 27, 2023 - Kathleen M. McBride
November 27, 2023 - Securities Industry and Financial Markets Association (SIFMA)
Lisa Bleier
November 27, 2023 - U.S. Chamber of Commerce
Chantel Sheaks
November 27, 2023 - Pension Rights Center
Norman P. Stein, Janice C. Winston
November 27, 2023 - AARP
David Certner
November 28, 2023 - Public Investors Advocate Bar Association
Joseph C. Peiffer
November 28, 2023 - Consumer Federation of America
Micah Hauptman
November 28, 2023 - Financial Services Institute (FSI)
Mark Smith
November 28, 2023
- Better Markets Inc.
Stephen Hall
November 28, 2023 - Collective Wealth Partners
Kamila Elliot
November 28, 2023 - Alternative and Direct Investment Securities Association (ADISA)
John H. Grady
November 28, 2023 - Certified Financial Planner Board of Standards, Inc.
Daniel Moisand
November 28, 2023 - American Bankers Association
Timothy E. Keehan
November 28, 2023 - Betterment
Joshua Rubin
November 28, 2023 - National Pension Partners
Nicholas Paleveda
November 28, 2023 - American Council of Life Insurers (ACLI)
Susan K. Neely
November 29, 2023 - Institute for Portfolio Alternatives (IPA)
Kevin L. Walsh
November 29, 2023 - SPARK Institute, Inc.
Adam McMahon
November 29, 2023 - American Benefits Council
Lynn Dudley
November 28, 2023 - Public Citizen
Bartlett Naylor
November 29, 2023 - AFL-CIO
Candace Archer
November 29, 2023 - American Investment Council (AIC)
Michael Kreps, George Sepsakos
November 29, 2023
- Federation of Americans for Consumer Choice
Kim O’Brien, Don Colleluori
November 29, 2023 - Family Investment Center
Dan Danford
November 29, 2023
Attachment - National Association for Fixed Annuities (NAFA)
Chuck DiVencenzo, Thomas Roberts, Pam Heinrich
November 29, 2023 - Insurance Coalition
Kendra Kosko Isaacson
November 29, 2023 - Groom Law Group
Jennifer Eller
November 29, 2023 - National Association of Personal Financial Advisors
Daphne Jordan
November 29, 2023 - Financial Planning Association (FPA)
Patrick Mahoney
November 29, 2023 - Insured Retirement Institute (IRI)
Wayne Chopus, Jason Berkowitz
November 29, 2023 - Institute for the Fiduciary Standard
Knut Rostad
November 24, 2023 - Benjamin P. Edwards
November 29, 2023 - Donald K. Jones
November 29, 2023 - Finseca
Marc Cadin
November 29, 2023 - Janice Winston
November 29, 2023 - Pension Rights Center
Norman P. Stein
November 29, 2023 - Americans for Financial Reform
Ivan Cazarin
November 29, 2023