10.24.2018

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Articles

Earlier this year, the SEC released extensive proposals seeking industry input on existing standards of care for investment advisers and broker/dealers serving retail investors and on the implementation of new standards. The authors describe the history and current status of the DOL fiduciary rule that the SEC proposals would replace and then turn to a detailed exploration of the proposals and the initial response to them. They close with an overview of state-level developments affecting fiduciary investment advice. Read the full article.