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Financial Services Institute Comment Letter to SEC on Duties of Brokers, Dealers and Investment Advisers (PDF)
Financial Services Institute [FSI] 
[Opinion] July 8, 2013 45 pages. Excerpt: "FSI's members are committed to a regulatory environment that achieves three important goals: (1) Investor access to financial advice and services; (2) Investor choice between available providers of advice and services; and (3) Robust and effective investor protections. FSI and its members believe that a uniform fiduciary standard of care, plainly articulated conduct rules, effective customer disclosures, and balanced regulatory supervision efforts will achieve all three of these goals and promote an environment that provides widespread benefits to all stakeholders." MORE >> |
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