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Compass
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Massachusetts Securities Division Proposes Uniform Fiduciary Standard
Sidley Austin LLP July 2, 2019
"On June 14, 2019, the Massachusetts Securities Division proposed and offered for public comment a state regulation to apply a fiduciary standard of conduct to broker-dealers, agents, investment advisers and investment adviser representatives when they advise their customers.... The Division's proposal appears to be a clear reaction to Secretary of the Commonwealth William Galvin's disappointment with the new Regulation Best Interest from the [SEC]."
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