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The Emerging Patchwork of Investment Advice Regulation
bodies, including the U.S. Securities and Exchange Commission (SEC), the U.S. Department of Labor (DOL) ... Jersey and Nevada (the latter not outlined in Table 1) have proposed new standards of care governing ...- Authors: Clifford Kirsch , Bria Adams
- Date: Sep 2019
- Competency: External Forces & Industry Knowledge
- Publication Name: Risks & Rewards
- Topics: Finance & Investments