SEC Looks At New Fiduciary Rule For Brokers
Jamie Patrick Hopkins
The Securities and Exchange Commission proposed Wednesday a revision of its conflict-of-interest rules for brokers. The proposal would beef up existing SEC requirements but stop short of the stricter fiduciary rule that the Department of Labor created in 2016.
Katzeff, Paul, "SEC Looks At New Fiduciary Rule For Brokers" (2018). In the News. 2779.