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: Securities Law Prof Blog

SEC Releases Staff Study on Improved Investor Access to Information about Brokers and Advisers

By Securites Lawprof

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The SEC released its third staff study this week required by Dodd-Frank, the Study and Recommendations on Improved Investor Access to Registration Information About Investment Advisers and Broker-Dealers. Section 919B directs the SEC to complete a study, including recommendations, of...

Full post as published by Securities Law Prof Blog on January 26, 2011 (boomark / email).

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