Post-election climate will resolve SRO, fiduciary issues
Dood-Frank, the tax treatment of retirement plans and the fate of the DOL's Borzi will all be certainties for discussion in early 2013.
By Melanie Waddell|October 18, 2012 at 07:43 AM
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While the regulatory and legislative landscapes remain sketchy until after the Nov. 6 election, industry officials say there are some fairly sure bets advisors can count on.
For starters, the Securities and Exchange Commission’s fiduciary rule will maintain momentum regardless of a President Obama or Gov. Mitt Romney win, but the Department of Labor’s fiduciary rule won’t see the light of day under a Romney administration.
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