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FINRA CEO Says Fiduciary Standard Makes Sense
Financial Planning; registration may be required 
Mar. 16, 2016 "In [a] perfect world, you'd eventually have a common standard under securities laws that could be enforced by regulators. The DOL's standard can really only be enforced by attorneys generals as the DOL doesn't have enforcement authority over the [best interest contract exemption]. And it would have common standards across retirement accounts and other accounts." MORE >> |
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