Securities Law Prof Blog

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

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Wednesday, June 5, 2013

NASAA & AARP Renew Call for Uniform Fiduciary Standard for Broker-Dealers

A coalition of organizations, including NASAA and AARP, submitted a letter to the SEC expressing their concern that the agency was backing away from adoption of a uniform fiduciary standard for broker-dealers and investment advisers and specifically from requiring that broker-dealers be subject to a fiduciary standard that is "no less stringent" than the one applicable to registered investment advisers. (Download FOF-Letter-to-MJW-06-04-2013[1])

http://lawprofessors.typepad.com/securities/2013/06/nasaa-aarp-renew-call-for-uniform-fiduciary-standard-for-broker-dealers.html

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