Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Friday, March 1, 2013

SEC Seeks Information to Assess Standards of Broker-Dealers

/Brenda Hamilton Hamilton & Assocaites, Fl. The Securities and Exchange Commission today published a request for data and other information to assist the agency in considering whether to make new rules about the standards of conduct and regulatory obligations for broker-dealers and investment advisers when they provide personalized investment advice about securities to retail customers.

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