本文翻译正在准备中。在此之前，我们暂时显示英文原文。
市场监管 · 2010/7/301 分钟阅读
Study Regarding Obligations of Brokers, Dealers, and Investment Advisers
本地自动翻译 · 来源原始语言
摘要
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.
来源原始语言: Federal Register — SEC打开原始公告 →