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: Securities Law Prof Blog

SEC Seeks Public Comment on Investment Advice Study

By Securites Lawprof

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The SEC published a request for public comment to inform its study of the obligations and standards of care of broker-dealers and investment advisers providing personalized investment advice about securities to retail investors. The study is required under the Dodd-Frank...

Full post as published by Securities Law Prof Blog on August 03, 2010 (boomark / email).

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