{"title":"Regulation Best Interest and the Standards of Conduct for Securities Broker-Dealers and Investment Advisers","authors":"Melanie L. Fein","doi":"10.2139/ssrn.3505649","DOIUrl":null,"url":null,"abstract":"This paper analyzes the language and meaning of the Securities and Exchange Commission's \"Regulation Best Interest\" and related regulatory actions establishing standards of conduct for securities broker-dealers and investment advisers with respect to retail investors.","PeriodicalId":123845,"journal":{"name":"Consumer Legal & Oversight eJournal","volume":"133 1","pages":"0"},"PeriodicalIF":0.0000,"publicationDate":"2019-07-01","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"","citationCount":"1","resultStr":null,"platform":"Semanticscholar","paperid":null,"PeriodicalName":"Consumer Legal & Oversight eJournal","FirstCategoryId":"1085","ListUrlMain":"https://doi.org/10.2139/ssrn.3505649","RegionNum":0,"RegionCategory":null,"ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":null,"EPubDate":"","PubModel":"","JCR":"","JCRName":"","Score":null,"Total":0}
引用次数: 1
Abstract
This paper analyzes the language and meaning of the Securities and Exchange Commission's "Regulation Best Interest" and related regulatory actions establishing standards of conduct for securities broker-dealers and investment advisers with respect to retail investors.
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