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Home / Columns and Features / SEC clarifies varying roles of financial professionals (access required)

SEC clarifies varying roles of financial professionals (access required)

Last year the U.S. Securities and Exchange Commission adopted a package of rules, forms and interpretations designed to enhance the experience of the retail investor. Collectively, these developments are intended to provide greater clarity with respect to the distinct roles of broker-dealers and investment advisers, and the standards of conduct applicable to their activities. In ...

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