United States:
Brokers And Investment Advisors: In Your Best Interest?
25 September 2019
Duane Morris LLP
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Tautology: needless repetition of an idea, statement or
word. — Merriam-Webster Dictionary
You invest in public securities, sometimes through your
investment advisor, sometimes through your stock broker. The legal
obligations each historically owed to you were different. Under new
SEC regulations, now each may owe you the same level of legal duty
— or not.
The path to this unclear result has been bloody, the issues not
yet fully resolved. Stay tuned. Below is a summary of the present
state of play.
To read the full text of this article by partner Stephen M. Honig, please visit the
New England In-House website.
Disclaimer: This Alert has been
prepared and published for informational purposes only and is not
offered, nor should be construed, as legal advice. For more
information, please see the firm's
full disclaimer.
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