CFA Provides Evidence to DOL of Broker-Dealer Firms Not Taking Steps to Comply with Conflict of Interest Rule
In a letter to the US Department of Labor, CFA provides additional evidence that the proposed extension of the transition period for the conflict of interest (or "fiduciary") rule and its related exemptions would cause harm to investors, including evidence that a sizeable majority of broker-dealer firms have not taken steps to prepare to comply with the rule.
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