{"title":"证券经纪人和投资顾问的受托责任:唯一利益还是最佳利益?政府建议分析","authors":"Melanie L. Fein","doi":"10.2139/ssrn.1646938","DOIUrl":null,"url":null,"abstract":"An analysis of the fiduciary duty standard for securities brokers as proposed by the Obama Administration. The paper compares the \"sole interest\" standard applicable to trustees with the \"best interest\" standard generally applicable to other fiduciaries. The paper recommends that the Securities and Exchange Commission be given flexibility to determine the fiduciary standard applicable to brokers.","PeriodicalId":376950,"journal":{"name":"Fiduciary Law eJournal","volume":"67 1","pages":"0"},"PeriodicalIF":0.0000,"publicationDate":"2009-08-28","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"","citationCount":"0","resultStr":"{\"title\":\"The Fiduciary Duty of Securities Brokers and Investment Advisers: Sole Interest or Best Interest? An Analysis of the Administration's Proposal\",\"authors\":\"Melanie L. Fein\",\"doi\":\"10.2139/ssrn.1646938\",\"DOIUrl\":null,\"url\":null,\"abstract\":\"An analysis of the fiduciary duty standard for securities brokers as proposed by the Obama Administration. The paper compares the \\\"sole interest\\\" standard applicable to trustees with the \\\"best interest\\\" standard generally applicable to other fiduciaries. The paper recommends that the Securities and Exchange Commission be given flexibility to determine the fiduciary standard applicable to brokers.\",\"PeriodicalId\":376950,\"journal\":{\"name\":\"Fiduciary Law eJournal\",\"volume\":\"67 1\",\"pages\":\"0\"},\"PeriodicalIF\":0.0000,\"publicationDate\":\"2009-08-28\",\"publicationTypes\":\"Journal Article\",\"fieldsOfStudy\":null,\"isOpenAccess\":false,\"openAccessPdf\":\"\",\"citationCount\":\"0\",\"resultStr\":null,\"platform\":\"Semanticscholar\",\"paperid\":null,\"PeriodicalName\":\"Fiduciary Law eJournal\",\"FirstCategoryId\":\"1085\",\"ListUrlMain\":\"https://doi.org/10.2139/ssrn.1646938\",\"RegionNum\":0,\"RegionCategory\":null,\"ArticlePicture\":[],\"TitleCN\":null,\"AbstractTextCN\":null,\"PMCID\":null,\"EPubDate\":\"\",\"PubModel\":\"\",\"JCR\":\"\",\"JCRName\":\"\",\"Score\":null,\"Total\":0}","platform":"Semanticscholar","paperid":null,"PeriodicalName":"Fiduciary Law eJournal","FirstCategoryId":"1085","ListUrlMain":"https://doi.org/10.2139/ssrn.1646938","RegionNum":0,"RegionCategory":null,"ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":null,"EPubDate":"","PubModel":"","JCR":"","JCRName":"","Score":null,"Total":0}
The Fiduciary Duty of Securities Brokers and Investment Advisers: Sole Interest or Best Interest? An Analysis of the Administration's Proposal
An analysis of the fiduciary duty standard for securities brokers as proposed by the Obama Administration. The paper compares the "sole interest" standard applicable to trustees with the "best interest" standard generally applicable to other fiduciaries. The paper recommends that the Securities and Exchange Commission be given flexibility to determine the fiduciary standard applicable to brokers.
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