Groups, officials weigh in on SEC-proposed standard of conduct for broker-dealers

PROVIDENCE – Numerous groups and officials weighed in last week on the U.S. Securities and Exchange Commission’s Regulation Best Interest proposal that sets a standard of conduct for securities brokers-dealers when advising clients. Many of those submitting opinions prior to the SEC’s deadline for accepting public comment said the proposal doesn’t offer investors enough protections.…
To read the full story, Subscribe or
Subscribe to PBN
- Advertisement -