SEC Seeks Comment For Study on Brokers, Dealers and Investment Advisers | Practical Law
https://content.next.westlaw.com/practical-law/document/Iacc1f51f1c9a11e38578f7ccc38dcbee/SEC-Seeks-Comment-For-Study-on-Brokers-Dealers-and-Investment-Advisers?viewType=FullText&transitionType=Default&contextData=(sc.Default)
An update on the SEC requesting public comment for its study on the effectiveness of existing standards of care for brokers, dealers and investment advisers providing personalized investment advice about securities to retail investors.
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SEC Seeks Comment For Study on Brokers, Dealers and Investment Advisers
Practical Law Legal Update 4-502-9138
(Approx. 2 pages)
SEC Seeks Comment For Study on Brokers, Dealers and Investment Advisers
by PLC Corporate & Securities
Related Content
Published on 27 Jul 2010
•
USA (National/Federal)
An update on the SEC requesting public comment for its study on the effectiveness of existing standards of care for brokers, dealers and investment advisers providing personalized investment advice about securities to retail investors.