Court Rules Against XYPN, States In Suit To Stop Reg BI
Yet while the Investment Advisers Act has long permitted brokers to be brokers and advisers to be advisers, and Dodd-Frank gave the SEC the option to allow brokers to become fiduciary advisers alongside investment advisers, the SEC chose neither of these paths with Regulation Best Interest, and in fact reinterpreted and dangerously broadened the solely…
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