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: FinancialCounselSEC Requests Public Comment Relating To Duties And Obligations Of Broker-Dealers And Investment Advisers
By James Eccleston
The Securities and Exchange Commission has 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 Wall Street Reform and Consumer Protection Act of 2010, which President Obama signed into law on July 21, 2010.
The SEC is requesting public comment for a study to evaluate: the effectiveness of existing legal or regulatory standards of care for brokers, dealers, investment advisers, and persons associated with them when providing personalized investment advice and recommendations about securities to retail investors; and whether there are gaps, shortcomings, or overlaps in legal or regulatory standards in the protection of retail customers relating to the standards of care for these intermediaries.
Source: SEC Press Release 2010-134
Full post as published by FinancialCounsel on August 02, 2010 (boomark / email).
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