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Article

Baker & Hostetler LLP | USA | 8 Feb 2011

SEC study recommends uniform fiduciary standard for investment advisers and broker-dealers

In late January, the Securities and Exchange Commission submitted to Congress a study recommending the adoption of a uniform fiduciary standard for investment advisers and broker-dealers when providing investment advice to retail customers.

Article

Baker & Hostetler LLP | USA | 15 Jul 2009

"Investor Protection Act of 2009" would grant SEC a host of new powers

The Treasury Department last Friday released a draft bill that would expand the SEC's investor protection authority while granting the SEC broad power to regulate broker-dealers.

Article

Baker & Hostetler LLP | USA | 28 May 2009

Tax-exempt debt market reform legislation

The House Financial Services Committee held a hearing on May 21, 2009, on four bills to address problems in the tax-exempt debt market.

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