Over the coming year, financial regulators are expected to press ahead with scores of rulemaking proceedings that will affect advisors and their clients. Lawmakers will continue to refine and implement numerous provisions of the Dodd-Frank financial reform bill, while mulling the possibility of expanding oversight of investment advisors.
So what will be the headline policy issues that affect advisors? One of the first regulatory proceedings that could materialize in 2013 comes from the Department of Labor, which has been developing a proposal to apply a fiduciary duty to ad-visors who provide advice to retirement plans.
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