7 regulatory issues you should watch this year

01/9/2011 | RIABiz.com

Registered investment advisers could face a host of changes as lawmakers act on the state and federal levels over the next year. Some of the biggest include upcoming decisions by the Securities and Exchange Commission over the fiduciary duty and a proposal to appoint a new regulator for advisers. Meanwhile, the Department of Labor will issue rules governing retirement plans.

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