Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Monday, January 10, 2011

Advisers and Brokers Await SEC's Study on Standards of Care

The SEC's report (required under Dodd-Frank section 913) on the effectiveness of existing standards of care for investment advisers and broker-dealers is due January 21.  The consensus is that the SEC will propose a uniform  standard of care, but no one has a clear idea of the specifics of what that means.  According to Investment News, "efforts to influence the conclusions of the report are said to be continuing non-stop."  InvNews, Disclosure is at center of fiduciary tug of war

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