--- title: Join Vanderbilt | DOL Fiduciary Rule (2) description: DOL Fiduciary Rule | (2) --- [![Logo-nav-for-web](https://blog.joinvanderbilt.com/hs-fs/hubfs/Images/Logo-nav-for-web.jpg?width=150&name=Logo-nav-for-web.jpg)](http://joinvanderbilt.com/) - [Home](http://joinvanderbilt.com/) - [About Us](http://joinvanderbilt.com/letter-from-our-ceo/) - [Welcome from our CEO](http://joinvanderbilt.com/letter-from-our-ceo/) - [Unique Culture](http://joinvanderbilt.com/unique-culture/) - [Meet Our Team](http://joinvanderbilt.com/meet-our-team/) - [Sustainable Wealth Management Firm](http://joinvanderbilt.com/sustainable-broker-dealer/) - [Our Services](http://joinvanderbilt.com/impact-investments/) - [Impact Investing](https://joinvanderbilt.com/impact-investments/) - [Investments Services](http://joinvanderbilt.com/investment/) - [Insurance](http://joinvanderbilt.com/insurance-services/) - [Advisory Services](http://joinvanderbilt.com/advisory-services-2/) - [Technology Platform](http://joinvanderbilt.com/tech-suite/) - [Join Us](http://joinvanderbilt.com/why-vanderbilt-independent-broker-dealer/) - [Why Vanderbilt](http://joinvanderbilt.com/why-vanderbilt-independent-broker-dealer/) - [Transition Process](http://joinvanderbilt.com/transition/) - [Timeline](http://joinvanderbilt.com/in-the-news/) - [Resources](https://blog.joinvanderbilt.com) - [Blog](https://blog.joinvanderbilt.com) - [Videos](http://joinvanderbilt.com/videos/) - [In The Press](https://joinvanderbilt.com/in-the-press/) - [Contact Us](https://joinvanderbilt.com/contact-us/) # Join Vanderbilt Blog ## [Level Fees or BIC Exemption – How do I choose?](https://blog.joinvanderbilt.com/level-fees-or-bic-exemption-how-do-i-choose) Posted by [Vanderbilt Financial Group](https://blog.joinvanderbilt.com/author/vanderbilt-financial-group) on 12/15/16, 10:39 AM - [Tweet](https://twitter.com/share) [![](https://blog.joinvanderbilt.com/hubfs/Blog/LisaRothBlog.png)](https://blog.joinvanderbilt.com/level-fees-or-bic-exemption-how-do-i-choose) **[Lisa Roth](http://www.monahan-roth.com/profiles.html), of [Monahan & Roth, LLC](http://www.monahan-roth.com/)** has been Vanderbilt’s key compliance consultant for many years and currently serves on several FINRA boards. This October she was the Keynote Speaker at Vanderbilt’s 2016 Annual Sales and Compliance Meeting. Her presentation, “Just the Fact’s Ma’am” focused on the **DOL Fiduciary Rule** and what it means for Financial Advisors. Here were just some of the highlights of the best rated talk of the day: [Read More](https://blog.joinvanderbilt.com/level-fees-or-bic-exemption-how-do-i-choose) 0 Comments [Click here to read/write comments](https://blog.joinvanderbilt.com/level-fees-or-bic-exemption-how-do-i-choose#comments-listing) Topics: [DOL Fiduciary Rule](https://blog.joinvanderbilt.com/topic/dol-fiduciary-rule) ## [Will Trump trump the DOL or is there a trump card yet to be played?](https://blog.joinvanderbilt.com/will-trump-trump-the-dol-or-is-there-a-trump-card-yet-to-be-played) Posted by [Vanderbilt Financial Group](https://blog.joinvanderbilt.com/author/vanderbilt-financial-group) on 12/8/16, 10:14 AM - [Tweet](https://twitter.com/share) [![](https://blog.joinvanderbilt.com/hubfs/Blog/trumpcards-368963-edited.png)](https://blog.joinvanderbilt.com/will-trump-trump-the-dol-or-is-there-a-trump-card-yet-to-be-played) ###### Some of you may remember a recent blog we put out on November 11th entitled, "**[How Will the Election Results Affect the DOL Fiduciary Rule?](https://blog.joinvanderbilt.com/how-will-the-election-results-affect-the-dol-fiduciary-rule)**" in which we asked our resident expert, Chief Compliance Officer, **[Barry Champney](https://joinvanderbilt.com/barry/)** for his initial insights. Now that the dust has settled a bit, we thought it would be interesting to check in with our key Compliance Consultant of many years, **[Lisa Roth](https://joinvanderbilt.com/keynote-announcement/)**, of [**Monahan & Roth,** **LLC**](http://www.monahan-roth.com/)**.** *(photo courtesy of [zazzle.com](http://www.zazzle.com/donald_trump_for_president_2016_usa_thumbs_up_playing_cards-256074924358333461))* ###### We asked and she answered. Check out Lisa's insights below:  [Read More](https://blog.joinvanderbilt.com/will-trump-trump-the-dol-or-is-there-a-trump-card-yet-to-be-played) 0 Comments [Click here to read/write comments](https://blog.joinvanderbilt.com/will-trump-trump-the-dol-or-is-there-a-trump-card-yet-to-be-played#comments-listing) Topics: [DOL Fiduciary Rule](https://blog.joinvanderbilt.com/topic/dol-fiduciary-rule) ## [DOL - A Growth Opportunity](https://blog.joinvanderbilt.com/dol-causing-financial-advisors-to-find-a-new-home) Posted by [Vanderbilt Financial Group](https://blog.joinvanderbilt.com/author/vanderbilt-financial-group) on 12/1/16, 3:55 PM - [Tweet](https://twitter.com/share) [![](https://blog.joinvanderbilt.com/hubfs/Blog/DOLPost.jpg)](https://blog.joinvanderbilt.com/dol-causing-financial-advisors-to-find-a-new-home) On November 30, 2016, [Vanderbilt Financial Group](https://joinvanderbilt.com/) CEO, [Steve Distante](https://joinvanderbilt.com/stephen/) was featured in an FA Magazine article written by [Dan Jamieson](http://www.fa-mag.com/author/276/dan_jamieson) entitled, “**[DOL Rule Could Force Broker Moves](http://www.fa-mag.com/news/dol-rule-could-force-broker-moves-30224.html)**”. In the article, Jamieson explores the varying responses sects of the industries has had to the impending DOL Rule and highlights how Independent Broker Dealers like Vanderbilt are experiencing an influx in Financial Advisors deciding to go Independent. [Read More](https://blog.joinvanderbilt.com/dol-causing-financial-advisors-to-find-a-new-home) 0 Comments [Click here to read/write comments](https://blog.joinvanderbilt.com/dol-causing-financial-advisors-to-find-a-new-home#comments-listing) Topics: [DOL Fiduciary Rule](https://blog.joinvanderbilt.com/topic/dol-fiduciary-rule) ## [How Will the Election Results Affect the DOL Fiduciary Rule?](https://blog.joinvanderbilt.com/how-will-the-election-results-affect-the-dol-fiduciary-rule) Posted by [Vanderbilt Financial Group](https://blog.joinvanderbilt.com/author/vanderbilt-financial-group) on 11/11/16, 4:29 PM - [Tweet](https://twitter.com/share) [![](http://blogs.denverpost.com/opinion-cartoons/files/2015/06/donald-trump-cartoon-luckovich.jpg)](https://blog.joinvanderbilt.com/how-will-the-election-results-affect-the-dol-fiduciary-rule) What a week! Many things about this week are extraordinary, game changing, and uncertain - so naturally everyone has a lot of new questions to think about. One of the questions our industry has right now, is “How will the election results affect the DOL Fiduciary Rule?” To start attempting to find an answer to this complicated and important question, we turned to our resident expert and Chief Compliance Officer, [Barry Champney](http://joinvanderbilt.com/barry/) for some of his initial insights.  [Read More](https://blog.joinvanderbilt.com/how-will-the-election-results-affect-the-dol-fiduciary-rule) 0 Comments [Click here to read/write comments](https://blog.joinvanderbilt.com/how-will-the-election-results-affect-the-dol-fiduciary-rule#comments-listing) Topics: [DOL Fiduciary Rule](https://blog.joinvanderbilt.com/topic/dol-fiduciary-rule) [Previous](https://blog.joinvanderbilt.com/topic/dol-fiduciary-rule/page/1) [All posts](https://blog.joinvanderbilt.com/all) ### Subscribe to Email Updates ### Recent Posts Copyright 2015 - All Rights Reserved - Vanderbilt Financial Group 125 Froehlich Farm Blvd, Woodbury, NY 11797 | Phone: [631.845.5100](tel:6318455100) Vanderbilt Financial Group is the marketing name for Vanderbilt Securities, LLC and its affiliates. 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