We wanted to make everyone aware of a great resource published by Fox Rothschild’s Securities Industry and Labor & Employment practice groups. It is called the National Survey on Restrictive
Rule 4530
Registered Representatives; No “Fiduciary” Duty For Now
By Joshua Horn on
A year ago, the SEC published its study commissioned under Dodd-Frank and recommended the implementation of a uniform fiduciary duty standard. Much debate has prevailed since that announcement. Will registered…
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