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To date, New York, New Jersey, Nevada, and Connecticut have issued various regulations, and legislation, addressing conflicts of interest in the sales of investment products. (Photo: Shutterstock)

As industry awaits the release of a mandate from the U.S. Appellate Court for the Fifth Circuit that will officially vacate the Labor Department’s fiduciary rule, attention is expected to turn to investment sales standards at the state level.

Nick Thornton


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