18 results with keyword: 'battle uniform fiduciary standard investment advisers broker dealers'
the standard of conduct for all brokers, dealers, and investment advisers, when providing personalized investment advice about securities to retail customers (and such other
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If an adviser has agreed to provide continuous supervisory services, the scope of the adviser's fiduciary duty entails a continuous, ongoing duty to supervise
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summary, those financial advisers (both at broker-dealers and at investment advisory firms) who deliver services to their customers under a fiduciary standard found that
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Regulation Best Interest – Standard of Conduct for Broker-Dealers Form CRS Relationship Summary for Broker-Dealers and Investment Advisers Commission Interpretation of
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Joint efforts to further develop and incorporate Apertium into the document management flow at Universitat Oberta de Catalunya Linguistic Data Improvements. Linguistic Data
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• Rather than develop new fiduciary rules or adopt a uniform fiduciary standard for investment advisers and brokers, the SEC should simply enforce the Investment Advisers Act
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The stated objective for establishing a fiduciary duty for broker-dealers is to match the standard of conduct already owed by investment advisers to their clients, because today
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Under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), the SEC was given the authority to — but is not required to — adopt a uniform
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Webcast: The SEC’s proposed fiduciary duty and standards of conduct for broker-dealers and investment advisers (May 8, 2018). BISA Webcast: SEC Fiduciary Rule Proposal (April
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As to the first, the staff recommended that the Commission consider adopting a new rule to apply a fiduciary standard uniformly to broker-dealers and investment advisers when
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217 Returning to the hypothetical supra note 212, a $5,000 investment in a high-risk equity investment would, by itself, be inappropriate for the elderly couple. However, if
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If you are looking for practical and best practice regulatory compliance routines that you can use to gain knowledge and build a compliance culture within your firm, then
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For a specied context the interactive procedure of attribute exploration determines a minimal list of implications that is sucient to deduce all valid implications between
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The Section 914 Study addresses the costs associated with Commission and state resources and takes into account, for the short term, a reduction in the number of federally
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In enforcing this obligation, which is derived from the duty of loyalty, the SEC has interpreted the decision in Capital Gains as requiring advisers to, among other things: (i) manage
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A broker dealer will not be deemed to have a place of business in a state where it does not maintain an offi ce simply by virtue of the fact that the fi rm’s website is
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The Dodd-Frank Act permits the SEC to adopt rules providing that the standard of conduct for broker-dealers and investment advisers, when providing personalized investment advice
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Staff recommends that the uniform fiduciary standard of conduct established by the Commission should provide that: [T]he standard of conduct for all brokers, dealers, and
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