Cette traduction est en cours de préparation. En attendant, nous affichons temporairement la version originale en anglais.
Régulation des marchés · 30/07/20101 min de lecture
Study Regarding Obligations of Brokers, Dealers, and Investment Advisers
Traduction automatique locale · Langue originale de la source
Résumé
The Securities and Exchange Commission is requesting public comment for a study to evaluate: The effectiveness of existing legal or regulatory standards of care for brokers, dealers, investment advisers, and persons associated with them when providing personalized investment advice and recommendations about securities to retail investors; and whether there are gaps, shortcomings, or overlaps in legal or regulatory standards in the protection of retail customers relating to the standards of care for these intermediaries.
Langue originale de la source: Federal Register — SECOuvrir le communiqué original →