United States:
SEC's Final Rules And Guidance On The Standards Of Conduct For Broker-Dealers And Investment Advisers
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On June 5, 2019, the Securities and Exchange Commission approved
a package of rulemakings and interpretations designed to enhance
the quality and transparency of investors' relationships with
broker-dealers and investment advisers while preserving access to a
variety of types of relationships and investment products. This
long overdue package reflects almost two decades of study and
engagement and thousands of comment letters. In this Alert, we
summarize and analyze the newly adopted rules and
interpretations.
Read the full alert.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
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