SEC Submits Dodd-Frank Study Recommending Uniform Fiduciary Standard for Investment Advisers and Broker-Dealers | Practical Law

SEC Submits Dodd-Frank Study Recommending Uniform Fiduciary Standard for Investment Advisers and Broker-Dealers | Practical Law

An update on the SEC submitting a study to Congress recommending that the SEC establish a uniform fiduciary standard for investment advisers and broker-dealers when providing investment advice about securities to retail customers.

SEC Submits Dodd-Frank Study Recommending Uniform Fiduciary Standard for Investment Advisers and Broker-Dealers

by PLC Corporate & Securities and PLC Finance
Published on 24 Jan 2011 • USA (National/Federal)
An update on the SEC submitting a study to Congress recommending that the SEC establish a uniform fiduciary standard for investment advisers and broker-dealers when providing investment advice about securities to retail customers.