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MA Fiduciary Proposal

Issue

SEC Regulation Best Interest→

Summary

SIFMA provides comment on the Massachusetts Securities Division’s proposed regulation “to apply a fiduciary conduct standard on brokerdealers, agents, investment advisers, and investment adviser representatives when dealing with their customers and clients.” SIFMA expresses concern the proposal, while well intentioned, will limit both the choices available to consumers and their access to one-on-one assistance.

See Press Release: SIFMA Comments on Massachusetts Fiduciary Rule Proposal (July 26, 2019)

PDF

Submitted To

Massachusetts Securities Division

Submitted By

SIFMA

Date

26

July

2019

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Type:

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