The SEC refuses to recommend a fiduciary rule for broker-dealers; new rule reiterates FINRA suitability standard and allows conflicts of interest between brokers and investors. The Securities and Exchange Commission in a 4-1 vote has rejected the fiduciary rule as the standard of conduct for broker-dealers and their representatives. Instead, the SEC has proposed “Regulation […]
About Bob Banks
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Entries by Bob Banks
Investor abuse and trust are explored in this video posted by the Public Investors Arbitration Bar Association (PIABA). Bob Banks answers the question, “why don’t more investors bring claims against their financial advisers?”
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