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: Securities Law Prof Blog

SEC Staff Study Recommends Uniform Fiduciary Standard for Investment Advisers and Broker-Dealers

By Securites Lawprof

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Today the SEC released the Study on Investment Advisers and Broker-Dealers required by Section 913 of the Dodd-Frank Act. As virtually everyone expected, the Study recommends adoption of a uniform fiduciary standard for investment advisers and broker-dealers who provided individualized...

Full post as published by Securities Law Prof Blog on January 22, 2011 (boomark / email).

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