 Care needs to be taken to ensure we’re not harming investors by driving away service providers in the brokerage space."Mary Jo White, Chairwoman, SEC |
Fiduciary Rule Among SEC's 2015 Priorities
Melanie Waddell | Think Advisor, November 2014
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Summary: Among the top Dodd-Frank Act rulemakings that the Securities and Exchange Commission will focus on in fiscal 2015 are evaluating recommendations from a staff report to consider a uniform fiduciary standard for investment advisors and broker-dealers as well as finding ways to harmonize rules for advisors and brokers, the agency said in its just-released financial report for fiscal 2014.
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