The regulatory/legislative front will heat up in the New Year for advisors, with four issues taking center stage — the contentious issue of whether to create a self-regulatory organization for advisors; the Securities and Exchange Commission proposing a rule to put brokers under a fiduciary mandate; the Department of Labor reproposing its rule to amend the definition of fiduciary under the Employee Retirement Income Security Act; and the “switching” of advisors from federal to state registration.
An agency is presenting a webinar on the experiences of people facing the younger onset form of the disease.
Fisher says his remarks were taken out of context.
The regulator group says it plans to hire an outside group to do a technology evaluation.
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