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: Securities Law Prof Blog

NASAA Statement on SEC Staff Study on Fiduciary Duty

By Securites Lawprof

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NASAA Statement on SEC Study on the Obligations of Brokers, Dealers and Investment Advisers ?The SEC staff recommendation to apply a fiduciary duty to broker-dealers who provide personalized investment advice about securities to retail customers will have a significant positive...

Full post as published by Securities Law Prof Blog on January 24, 2011 (boomark / email).

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