Aurora Borealis
10 January 2018 Comment Letter

Comment Letter to SEC on Standards of Conduct for Investment Advisers and Broker-Dealers

  1. Kurt Schacht, JD, CFA
  2. James Allen, CFA

This letter asks the SEC to provide additional guidance to clarify terms in the Investment Advisers Act that would include calling on brokers who use the title, financial advisor, to register as investment advisers.

Comment Letter to SEC on Standards of Conduct for Investment Advisers and Broker-Dealers
View Comment Letter
Publisher Information
CFA Institute

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