On June 5, 2019, the SEC adopted a package of rulemakings and interpretations designed to enhance the quality and transparency of investors’ relationships with broker-dealers and investment advisers. The focal point of this...more
9/3/2019
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Broker-Dealer ,
Conflicts of Interest ,
Deadlines ,
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Form CRS ,
Investment Adviser ,
Investors ,
Policies and Procedures ,
Regulation BI ,
Retail Investors ,
Risk Management ,
Rulemaking Process ,
Securities and Exchange Commission (SEC)
The Equity Market Structure Advisory Committee (EMSAC or Committee) held its third meeting at the Securities and Exchange Commission (Commission or SEC) in Washington DC on February 2, 2016. The Committee is considering...more