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Author: Melanie L. Fein Publisher: ISBN: Category : Languages : en Pages : 42
Book Description
This paper examines the “suitability rule” and related duties of securities brokers with respect to their customer recommendations in comparison with similar duties of investment advisers. This paper also discusses the standards of care owed by trustees under the Uniform Prudent Investor Act as a possible guide for brokers and investment advisers who owe a duty to act in the "best interest" of their clients both under existing law and any new regime adopted as a result of the Dodd-Frank Act.
Author: Clifford E. Kirsch Publisher: ISBN: 9781402407710 Category : Business & Economics Languages : en Pages : 0
Book Description
Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.
Author: Melanie L. Fein Publisher: ISBN: Category : Languages : en Pages : 42
Book Description
This paper examines the “suitability rule” and related duties of securities brokers with respect to their customer recommendations in comparison with similar duties of investment advisers. This paper also discusses the standards of care owed by trustees under the Uniform Prudent Investor Act as a possible guide for brokers and investment advisers who owe a duty to act in the "best interest" of their clients both under existing law and any new regime adopted as a result of the Dodd-Frank Act.
Author: Angela A. Hung Publisher: Rand Corporation ISBN: 0833045016 Category : Law Languages : en Pages : 151
Book Description
In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investment adviser provides advice to others regarding securities. Different laws regulate each type of professional, but boundaries have blurred. This report examines current business practices and investor understanding of each type.
Author: Michael V. Seitzinger Publisher: ISBN: Category : Business ethics Languages : en Pages : 8
Book Description
Brokers and dealers and investment advisers have been held to different standards of conduct in their dealings with investors. In very general terms, a broker-dealer is held to a suitability standard, and an investment adviser is held to a fiduciary duty standard. With passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which tasks the Securities and Exchange Commission (SEC) with issuing rules concerning the standards of conduct for brokers, dealers, and investment advisers, the current standards may be changed.
Author: Barry Leonard Publisher: DIANE Publishing ISBN: 1437980600 Category : Business & Economics Languages : en Pages : 208
Book Description
Retail investors seek guidance from broker-dealers and investment advisers (BD&IA) to manage their invest. and to meet their own and their families¿ financial goals. BD&IA are regulated extensively, but the regulatory regimes differ, and BD&IA are subject to different standards under fed. law when providing invest. advice (IA) about securities. This report evaluated: (1) The effectiveness of existing legal standards of care for providing personalized IA and recommend. about securities to retail customers; and (2) Whether there are legal gaps in regulatory standards in the protection of retail customers relating to providing personalized IA about securities to retail customers that should be addressed by statute. This is print on demand report.
Author: Melanie L. Fein Publisher: ISBN: Category : Languages : en Pages : 97
Book Description
This paper analyzes the language and meaning of the Securities and Exchange Commission's "Regulation Best Interest" and related regulatory actions establishing standards of conduct for securities broker-dealers and investment advisers with respect to retail investors.
Author: Melanie L. Fein Publisher: ISBN: Category : Languages : en Pages : 25
Book Description
This paper discusses how the Securities and Exchange Commission might formulate a “best interest” standard of conduct for broker-dealers and investment advisers under the Dodd-Frank Act that would be consistent with the Department of Labor's best interest contract exemption, the trust law standard in the Uniform Prudent Investor Act, and FINRA's Suitability Rule.
Author: Melanie L. Fein
Author: Clifford E. Kirsch
Author: Melanie L. Fein
Author: Angela A. Hung
Author: Thomas P. Lemke
Author: Michael V. Seitzinger
Author: Barry Leonard
Author: 
Author: Melanie L. Fein
Author: Association for Investment Management and Research
Author: Melanie L. Fein