DOL Rule is Here. Are You Ready?  

The first phase of the DOL Fiduciary Rule goes into effect on June 9th. What does that mean for your investment program?
  • How will your investment revenue change?
  • Will your product offerings change?
  • How's it going to affect your advisors day-to-day? 
Click on the "Email Me" button and type "DOL" in the subject line to get a copy of our DOL Strategy document and learn how we're addressing your DOL questions.
Connie L. Gregory
SVP, Business Development
CUSO Financial Services, LP and
Sorrento Pacific Financial, LLC
DOL Fiduciary Rule Update

The first phase of the DOL Rule means a few things for your team. 
It means investment advisors will become fiduciaries for retirement accounts, and the "impartial conduct standards" will be required. 
Advisors must: 

1. Give advice in the "best interest" of the investor
2. Charge no more than reasonable compensation, and 
3. Make no misleading statements.

CFS/SPF have been preparing for the DOL Fiduciary Rule all along, and have a series of resources, training, and tools to help financial institutions meet the new requirements. Our point of sale documentation and other processes have been in place for years and required just a few updates to be DOL-compliant. 

Other tools we launched last year to help our programs transition, such as monthly DOL compliance calls, our DOL-focused website "The DOL Corner," and our Product Mix Transition Calculator, a tool designed to help financial advisors analyze their books of business to understand the financial impact of post-DOL commission rates and changes in product mix.

With both our longstanding and new resources in order, CFS/SPF and our client financial institutions are ready for tomorrow and into the future with the DOL Fiduciary Rule. If you'd like to feel confident in your compliance and competitive advantage, email Connie at for your copy of our DOL Strategy Document and learn more about working with a broker-dealer like CFS/SPF.

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Quote From Our CEO
"Our programs ask us why we are so calm amid the chaos of the rule changes, but we know that we are well-prepared - we have been working in the best interests of our clients as recommended by FINRA and the SEC for a long time."

~Valorie Seyfert, CEO of CFS/SPF

Proven Stats, Actionable Advice, and Smart Tactics
CFS/SPF Fast Facts 
  1. Focus on Financial Institutions
  2. Celebrating 20 Years of Consistent Growth
  3. Stability: the Same Leaders since 1996
  4. Strong Compliance Record
  5. Breadth & Depth of Product Selection
  6. Flexible Program Types
  7. Today's Commitment to Tomorrow's Technology

If you'd like to learn more about how CFS/SPF can help your investment program, please contact us. For industry and company news, follow us at our CFS LinkedIn and SPF LinkedIn pages. 

Let's talk! 
Connie L. Gregory
SVP, Business Development
CUSO Financial Services, L.P. and Sorrento Pacific Financial, LLC
(858) 530-4440