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Best Execution Standard
Groom Law Group in planadviser; registration may be required 
[Guidance Overview] Feb. 28, 2022 "Registered broker/dealers (B/Ds) and investment advisers have long been required to comply with a 'best execution' standard when making trades for their clients. That obligation is now one of the conditions a financial institution and financial professional must meet to take advantage of [PTE 2020-02]. The failure to meet the standard will result in the loss of exemptive relief." MORE >> |
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