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: Securities Law Prof Blog

SIFMA Supports Comparable Regulatory Oversight of Brokers, Investment Advisers

By Securites Lawprof

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SIFMA submitted a comment letter (Download 2011-SIFMA-commentletter-DFsection914study[1]) to the SEC urging that the SEC recommend to Congress a regulatory structure that would provide comparable oversight and examination of both brokers and investment advisers when providing personalized investment advice to retail...

Full post as published by Securities Law Prof Blog on January 13, 2011 (boomark / email).

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