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Analysis

SEC Can't Ignore State Action On Fiduciary Rules

By Alison Noon ( February 19, 2019, 2:36 PM EST) -- Several states are positioned to outlaw self-interested trades in the broker-dealer business, pressuring the U. S. Securities and Exchange Commission to raise professional standards beyond a proposal released last year that falls short of the strict fiduciary duties some policymakers want. . . .

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