Archive | September 2016

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Designed to Fail? An Update on the DOL Regulation

On September 23rd, InvestmentNews published an article titled “DOL fiduciary rule to cost the securities industry $11B by 2020: study” with most of the cost borne by independent broker-dealers. While recently speaking with a large independent broker-dealer, they shared with us that they have allocated 7,000 hours of information technology (IT) work for 2017 to […]