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DOL Official Asks: Is It Naive to Permit Commission Sales at All?
Financial Planning; registration may be required 
Aug. 13, 2015 "[A] top department official indicated he has started to worry that commission sales of investment products may be inherently 'conflicted' and unavoidably harmful to investors. Timothy Hauser, a DOL deputy assistant director, ... confessed that he had asked himself, 'Is lurking in [any financial firm's] policies and procedures ... a sense in which the firm's conflict of interest is just being directly transmitted to the advisor?' " MORE >> |
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