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Keyword: Fiduciary duty

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professional woman meeting male advisor

The new broker conduct rule waters down the protections in the Dodd-Frank Act, the states say

Federal Hall with Washington Statue on the front, wall street, Manhattan, New York City

The reforms also feature new relationship disclosure requirements for both registered investment advisors and broker-dealers

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Neither product nor sales volume fell

Stacked white books on rules and regulations

The regulator intends to publish a paper this fall with detailed reform proposals

usiness team in a meeting looking at a sheet of paper

Tips for knowing when you’re in a fiduciary relationship and providing dutiful service

United States Capitol, Washington DC

U.S. securities industry lobbyists say developing standards at the state level will result in conflicting requirements

Wall street sign in New York with American flags and New York Stock Exchange background.

The group argues that the proposed rule, as it stands, is too weak in certain respects and too ambiguous in others

Typical yellow taxi in Manhattan street, New York city.

Three states rush to defend regulations that require retirement investment advisors to put the interests of their clients above their own financial gain

Further comments on the rule invited during transition period

FAIR Canada not in favour of regulators’ stance on best interest standard

A new course defines procedural frameworks for advisors “based on fiduciary best practices”