Investment advisor
From Riski
See also fiduciary standard and Investment Advisers Act of 1940.
SEC study on enhancing investment adviser examinations
- Source: Staff Study on Enhancing Investment Adviser Examinations SEC, January 19, 2011
As Required by Section 914 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
References
- SEC Report May Urge U.S. Stockbrokers to Uphold Fiduciary Duty Bloomberg, January 14, 2011
