“The Securities and Exchange Commission’s advice rule proposal released earlier this week could give advisers working in the registered investment advisory channel a leg up over brokers.
The SEC released a nearly 1,000-page, three-part proposal earlier this week that would establish a new best interest regulation for brokers; a new client relationship summary for brokers and advisers; and an interpretation of the fiduciary standard of care that advisers currently owe to their clients. “
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