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Surveys reveal service disruptions under fiduciary rule

Two surveys from SIFMA and FSR detail how the fiduciary rule has affected brokerage and advisory services -- impacting workloads, rollover advice, funds offered, and more.

By Nick Thornton | Updated on August 16, 2017
Two surveys from SIFMA and FSR detail how the fiduciary rule has affected brokerage and advisory services.(Photo: Shutterstock)

Two financial services trade groups have released studies detailing how the Labor Department’s fiduciary rule has impacted brokerage and advisory services so far.

A study commissioned by the Securities Industry and Financial Markets Association focuses on the experience at 21 member firms, and another commissioned by the Financial Services Roundtable surveys the experiences of 600 individual brokers, RIAs, and insurance agents.

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Nick Thornton

Nick Thornton

Nick Thornton is a financial writer covering retirement and health care issues for BenefitsPRO and ALM Media. He greatly enjoys learning from the vast minds in the legal, academic, advisory and money management communities when covering the retirement space. He's also written on international marketing trends, financial institution risk management, defense and energy issues, the restaurant industry in New York City, surfing, cigars, rum, travel, and fishing. When not writing, he's pushing into some land or water.

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