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SEC Invites Comments from Retail Investors and Others on Standards of Conduct for Investment Advisers and Broker-Dealers
U.S. Securities and Exchange Commission [SEC] 
[Official Guidance] June 7, 2017 "Significant developments in the marketplace since the Commission last solicited information from the public in 2013 include financial innovations, changes to investment adviser and broker-dealer business models, and regulatory developments -- including the issuance and pending applicability of the [DOL's] Fiduciary Rule.... [P]ublic views on the following questions, as well as other information the public believes to be relevant to these issues and the Commission's consideration of potential future action." MORE >> |
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