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Compliance Nightmare Possible in 2016, SIFMA Says
Financial Planning; registration may be required 
Dec. 7, 2015 "The wealth management industry might be headed towards a 'compliance nightmare' next year should the Labor Department move ahead with its proposed fiduciary rule, SIFMA warned in its annual state of the industry briefing.... [T]he organization's leaders repeated their preference that the SEC lead the effort on creating a fiduciary rule instead of the Labor Department, citing concerns that the department's proposed rule would be unworkable in practice." MORE >> |
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