SEC Requests Comment on Study Regarding Obligations of Brokers, Dealers and Investment Advisers

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The Securities and Exchange Commission has requested public comment regarding the effectiveness of the existing standard of care for brokers, dealers, investment advisers and their associated persons when providing personalized investment advice and recommendations about securities to retail customers.

Please see full alert below for more information.

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Published In: General Business Updates, Finance & Banking Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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