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SEC Refuses to Adopt Fiduciary Rule
Banks Law Office, P.C. Team

April 19, 2018

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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…

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