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: Securities Law Prof Blog

Dodd Punts on Harmonizing Regulation of Investment Advice Providers

By Securites Lawprof

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An important issue in any financial reform package adopted by Congress is the so-called "harmonization" of regulatory treatment of broker-dealers and investment advisers that provide personalized investment advice to retail customers. While "harmonization" can be subject to many interpretations, there...

Full post as published by Securities Law Prof Blog on March 16, 2010 (boomark / email).

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