SEC Staff Issues Bulletin on the Care Obligations of Advisers and Broker-Dealers to Retail Investors | Proskauer Rose LLP
On April 20, 2023, the staff of the Securities and Exchange Commission (the “SEC”) published an FAQ‑style bulletin[1] that provides guidance on the care obligations of broker‑dealers...
Exchange Act Release No Exchange Commission Proskauer Rose Care Obligation Regulation Best Interest Investment Advisers Act
Source: jdsupra.com