Today, while the FPA believes the SEC was correct in taking the first step to strengthen the standard of conduct for broker-dealers who provide investment advice with its new sales conduct proposal, “the SEC’s [best interest] proposal falls short of its intended goals and may lead to further investor confusion,” the FPA’s policy primer delivered to lawmakers and staffers states.
FPA Lobbies For Stronger Advisor Regulations On Capital Hill
June 7, 2018
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