Democrats scraping the Trump administration’s reforms hinges on who’s picked to lead the SEC
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Industry stakeholders are now looking to Massachusetts to see how aggressively the state enforces the rule and gain insight into how other states may follow suit.
The Democratic VP, Kamala Harris, co-signed an Aug 6th letter criticizing the DOL proposal.
Phyllis Borzi roundly criticizes the DOL class exemption that would allow retirement plan advisors to receive commissions.
The Institute contends in a new whitepaper that SEC and CFP Board rules will sweep away key principles of the Advisers Act.
Advisors who communicate quickly, openly and honestly … will come out in a stronger position.