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Comments to SEC from Retail Investors Etc.

Comment Letter

Comments to SEC from Retail Investors Etc.

Published September 1, 2017

Standards of Conduct for Investment Advisers and Broker-Dealers

The Statement includes a series of questions requesting public comment on the DOL Fiduciary Rule’s impact and on prospective Commission actions regarding the Commission’s establishment of a standard of conduct.

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Trust & Investments

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