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Advice Standards Packages From the SEC and DOL Expected by September

Wealth Advisor
December 10, 2018

The Securities and Exchange Commission’s advice standards package and the Labor Department’s revised fiduciary rule are both expected to be finalized by September 2019, according to ThinkAdvisor. As part of the SEC package, there will be changes to Regulation Best Interest and the Customer Relationship Summary, according to SEC Chairman Jay Clayton.   
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Midterm Elections’ Outcomes Leave Financial Advisors Mostly Happy

Financial Advisor IQ
November 09, 2018

Advisors are mostly optimistic about the outcome of the midterm elections, in which the Democrats took over the House of Representatives and the Republicans held on to the Senate, creating a divided legislature, much as had been predicted by pollsters and analysts, writes.
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The Democrats took the House, and here’s what that means for your retirement

November 08, 2018

The Democrats won the House, the Republicans kept the Senate, and future retirees should be paying close attention to retirement legislation these next few years.
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Will fiduciary wave follow Democrat statehouse victories?

Financial Planning
November 07, 2018

After a strong electoral showing for Democrats, more states could move forward with proposals for tougher regulation of advisors. But any rollout of new fiduciary proposals will more likely be a trickle rather than a torrent.
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Here’s how a Democratic House will affect financial advisers

November 07, 2018

While the new majority is unlikely to block the SEC advice rule, retirement income advocates forecast momentum for annuities legislation
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Democratic Takeover of House Could Spell Trouble for SEC’s Advice Standards

Financial Advisor IQ
November 06, 2018

The SEC’s proposed Regulation Best Interest could face far more scrutiny and hurdles if the Democrats take over the House of Representatives in today’s midterm elections, according to ThinkAdvisor.
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