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Beyond Democratic lawmakers, Reg BI’s critics include consumer advocates as well as some in the registered advisory community. (Photo: Diego M. Radzinschi/ALM)

The Security and Exchange Commission’s proposed regulations to heighten broker-dealers’ standard of conduct, codify registered advisors’ fiduciary obligations to retail investors, and streamline client disclosures are not expected to be slowed or materially impacted now that Democrats will hold the majority in House of Representatives.

Nick Thornton


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