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: Securities Law Prof Blog

Senator Proposes Amendment Calling for SEC Study of Broker-Adviser Issue

By Securites Lawprof

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Senator Tim Johnson (D-SD) is circulating a change to the Senate financial reform legislation (remember that?) so that brokers offering advice to their customers would not have to register as investment advisers or owe fiduciary duties to their customers. Instead,...

Full post as published by Securities Law Prof Blog on February 16, 2010 (boomark / email).

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