SEC: B-D/adviser study under way
Input was due last week for an SEC study of broker-dealers and investment advisers who provide investment advice to retail investors.
Input was due last week for an SEC study of broker-dealers and investment advisers who provide investment advice to retail investors. As required under the Dodd-Frank Act, the agency is requesting public input on issues related to the effectiveness of existing standards of care for broker-dealers and investment advisers and whether there are gaps, shortcomings or overlaps in the existing legal and regulatory standards. For more information, click here.
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