Wednesday, November 11, 2009
Dodd's financial reform bill would eliminate the ‘broker-dealer exemption'
Legislation would give SEC authority to allow principal trades
Brokers who provide investment advice would no longer be exempt from registering as investment advisers under draft legislation unveiled today by Senate Banking Committee Chairman Christopher Dodd, D-Conn...
Investment News: Dodd's financial reform bill would eliminate the ‘broker-dealer exemption'
Brokers who provide investment advice would no longer be exempt from registering as investment advisers under draft legislation unveiled today by Senate Banking Committee Chairman Christopher Dodd, D-Conn...
Investment News: Dodd's financial reform bill would eliminate the ‘broker-dealer exemption'
Permalink posted by markw @ 10:54 AM 
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