Summary: While the Department of Labor’s fiduciary rule takes effect next Friday, the Securities and Exchange Commission is asking the public for help shaping future regulations for the investment advice industry. The last time the agency issued such a request for information was in 2013, when it collected data and information related to the rules governing investment advisors and broker/dealers. A lot has changed since.
 I believe clarity, consistency [and coordination] are key elements of effective oversight and regulation. We should have these elements in mind as we strive to best serve the interests of our nation's retail investors in this important area."Jay Clayton, Chairman, SEC
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