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: Securities Law Prof Blog

Advisers and Brokers Await SEC's Study on Standards of Care

By Securites Lawprof

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The SEC's report (required under Dodd-Frank section 913) on the effectiveness of existing standards of care for investment advisers and broker-dealers is due January 21. The consensus is that the SEC will propose a uniform standard of care, but no...

Full post as published by Securities Law Prof Blog on January 10, 2011 (boomark / email).

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