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fi360 Comment Letter to SEC on Duties of Brokers, Dealers and Investment Advisers (PDF)
Fi360 
[Opinion] July 9, 2013 "fi360 strongly believes that there should be a uniform standard of conduct for personalized investment advice provided to retail investors ... We believe that investors expect that a uniform standard should be applied, no matter the regulatory affiliation of the individual providing the advice. We believe that the adoption of a uniform standard would not reduce the availability of appropriate investment services or investment products to retail investors." MORE >> |
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