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How Smart Are You About the SEC’s New Regulation Best Interest Rules?

If you can correctly answer 10 of the following 12 questions, count yourself ahead of the game.

In March, a federal appeals court panel struck down fiduciary rules proposed by the Department of Labor. The Securities and Exchange Commission has now stepped in with its own set of proposed regulations on the fiduciary issue. While the SEC’s regulations are by no means set in stone as a public comment process is underway, the broad outlines of the SEC’s regulations, and how they differ from the DOL’s, are now the subject of much scrutiny. How well informed are you about these proposed reforms, which, if implemented, will dramatically change the way you work?  If you can correctly answer 10 of the following 12 questions, count yourself ahead of the game.   

TAGS: Industry
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