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Proposed Investment Advice Rules Could Hurt Brokers, Help Registered Investment Advisors
RIABiz Link to more items from this source
Mar. 8, 2010
Excerpt: This article is about the potential for a big-time setback for securities brokers from a regulatory development in Washington. For years wirehouses have maneuvered past various SEC threats to getting paid for providing advice that didn't meet strict fiduciary standards. Now it appears that a new less foreseen threat -- new DOL regulations -- could shrink the potential assets that brokers employed by big firms advise on. This article elucidates how independent advisors -- and in a separate development index funds -- may be well-positioned to capitalize on this potential upheaval.

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