LECTURE

[...]they focus their business activities on clearing and settling trades, underwriting securities, or serving as market makers, for example. Because the fiduciary debate focuses on the narrow overlap in services provided by brokers and advisers, i.e., when they each provide personalized investment...

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Bibliographic Details
Published in:Fordham journal of corporate & financial law 2017-07, Vol.22 (3), p.310
Main Author: Hammerman, Ira D
Format: Article
Language:English
Subjects:
Attorneys
Awards & honors
Conflicts of interest
Dissolution
Fiduciary responsibility
Investment advisors
Law schools
Licensing examinations
SEC regulations
Securities industry
Securities regulations
Stock brokers
Wall Street Reform & Consumer Protection Act 2010-US
Online Access:Get full text
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