The Securities and Exchange Commission issued a request for data and other information that the SEC will review while considering alternative standards of conduct for broker-dealers and investment advisers when they provide...more
- Broker-Dealer Dodd-Frank Fiduciary Duty Investment Adviser SEC
The Securities and Exchange Commission has extended a no-action letter dated February 12, 2004 (the 2004 Letter) from the Securities Industry Financial Markets Association (SIFMA) that permits broker-dealers, subject to...more
- AML Broker-Dealer FinCEN Investment Adviser No-Action Letters SEC SIFMA
In May 2012, the Financial Industry Regulatory Authority provided guidance on Rule 2111 (Suitability) by providing answers to frequently asked questions (FAQs). Answers that supersede some of these FAQs and additional FAQs...more
- Broker-Dealer FINRA Investment Adviser Suitability Rule
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