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SEC Adopts Enhanced Standard of Conduct for Broker-Dealers and Clarifies Fiduciary Duties of Investment Advisers

USA - June 12 2019 The U.S. Securities and Exchange Commission, on June 5, 2019, voted 3-1 in favor of adopting a package of rules, amendments and...

Brian J. McGrady, Jr, K. Susan Grafton, Mark D. Perlow, Christine Ayako Schleppegrell, Steven Rabitz, Kathleen Hyer, Michael L. Sherman, Andrew L. Oringer, Robert J. Rhatigan.

FINRA Issues FAQs on Rules Relating to Financial Exploitation of Seniors and Other Vulnerable Adults

USA - January 1 2018 The Financial Industry Regulatory Authority (FINRA) has published frequently asked questions (FAQs) for complying with new FINRA Rule 2165 (Financial...

K. Susan Grafton, Elliott R. Curzon.