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Commentary: ERISA's Fiduciary Standard Is Applied to Broker-Dealers

Traders Magazine Online News, November 9, 2010

Stephen J Nelson; The Nelson Law Firm

Section 913 of the Dodd-Frank Wall Street Reform and Consumer Protection Act authorized the SEC to adopt rules that would impose the fiduciary standards of the Investment Advisers Act of 1940 on broker-dealers that provide personalized advice to retail customers. So far, the SEC has not yet promulgated any such proposal as it has a lot on its plate already,

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