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: Securities Law Prof Blog

Amendment to Harmonize Broker-Dealer/Investment Adviser Regulation Will be Introduced in the Senate

By Securites Lawprof

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Senators Menendez and Akaka plan to introduce an amendment (Download Menendez amendment) to the Senate's version of the financial reform legislation that will require the SEC to enact rules to provide that broker-dealers that offer personalized investment advice about securities...

Full post as published by Securities Law Prof Blog on May 04, 2010 (boomark / email).

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