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Corporate & Securities Law

: Business Law Prof Blog

The SEC Broker/Investment Adviser Fiduciary Duty Study

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Over the weekend, the SEC released its Study on Investment Advisers and Broker-Dealers. This is one of many studies required by the Dodd-Frank Act, in this case by section 913 of the Act. The Staff recommends that the SEC adopt...

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

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