Proposed Study to Compare Roles of Investment Advisers, Broker-Dealers

by Sabrina I. Pacifici on August 4, 2006

SEC press release, August 1, 2006: “The U.S. Securities and Exchange Commission…issued a request for contract proposals to conduct the first stage of a major study comparing how the different regulatory systems that apply to broker-dealers and investment advisers affect investors. The full text of the RFP.”

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