Dylan Kelsey Naughton

Dylan Kelsey Naughton

Morrison & Foerster LLP

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Understanding the Standard of Care for Broker-Dealers and the Department of Labor’s Fiduciary Rule

Until recently, broker-dealers operating in the United States weren’t subject to a fiduciary standard when dealing with their retail clients. The passage of the Dodd-Frank Act in 2010 included a provision enabling the...more

1/12/2018  /  Best Interest Contract Exemptions , Broker-Dealer , Department of Labor (DOL) , Dodd-Frank , Fiduciary Rule , Investment Adviser , Principal Transaction Exemption , Retirement , Securities and Exchange Commission (SEC) , Standard of Care
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