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SEC Publishes Public Request for Comment to Inform Study of Obligations of Broker-Dealers and Investment Advisers

{ Posted on Jul 27 2010 by SEC.gov Updates: Press Releases }

Tags : Investing, investor, SEC
Categories : All, SEC.gov Updates

The Securities and Exchange Commission today published a request for public comment to inform its study of the obligations and standards of care of broker-dealers and investment advisers providing personalized investment advice about securities to retail investors.

This entry was posted on Tuesday, July 27th, 2010 at 1:04 pm and is filed under All, SEC.gov Updates. You can follow any responses to this entry through the RSS 2.0 feed. You can skip to the end and leave a response. Pinging is currently not allowed.