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Presentation at the Fee-Based Accounts Rule Forum: How Firms Are Adapting to the Rule (PDF)
Morgan Lewis 
Sept. 26, 2006
19 pages. Excerpt: Beginning January 31 of this year, the rules changed for broker-dealers offering investment advice, as the last provisions of SEC Rule 202(a)(11)-1 swung into effect. The rule, adopted in April 2005, remapped the regulation of broker-dealers offering investment advice in two respects[.]
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