"While the outcomes of the Dodd-Frank mandate and the DOL's proposal remain uncertain, for the foreseeable future, broker-dealer firms are likely to experience increasing pressure to demonstrate that they have policies and procedures that identify and prevent conflicts of interest. [This article discusses] some of the common practices that [the authors] believe to be potential conflicts.... [1] Sales of mutual fund shares and the receipt of 12b-1 fees ... [2] Receipt of revenue sharing payments ... [3] Transaction fee and no-transaction fee mutual fund sales ... [4] Recommendations concerning the investment of ERISA and IRA assets."  MORE >>