James Rollins

James Rollins

Nelson Mullins Riley & Scarborough LLP

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SEC Addresses Standards of Care for Investment Advisers and Broker-Dealers in Proposed Rules

The Securities and Exchange Commission (“SEC”) has released a set of proposed rules governing relationships between investment professionals and their clients. The proposed rules—a hefty 1,000 pages with 1,800 footnotes— seek...more

5/8/2018  /  Broker-Dealer , Investment Adviser , Investors , Proposed Rules , Retail Investors , Securities and Exchange Commission (SEC)
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