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Recent SEC Enforcement Actions Highlight SEC Focus on Adviser Fiduciary Duty When Recommending and Reviewing Account Types | Dechert LLP

The Securities and Exchange Commission recently brought two enforcement actions that highlight the SEC’s focus on the investment adviser fiduciary duties, particularly as applied to...
Dechert Onpoint Division Of Examinations Matter Of Waddell Reed Matter Of Kovack Advisors Inc Waddell Reed Inc Exchange Commission

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