A group of regulators and lobbyists speaking at an industry conference this weekend laid out a possible timetable for the implementation of new Dodd-Frank-related regulations affecting financial planners.
The creation of a uniform fiduciary rule for brokers and advisors, as recommended by the Securities and Exchange Commission per Dodd-Frank, will likely come first, probably by the end of the year, said Kevin Carroll, managing director and associate counsel for the Securities Industry and Financial Markets Association.
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