*Letters

MA Fiduciary Proposal

Published on:
July 26, 2019
Submitted to:
Massachusetts Securities Division
Submitted by:
SIFMA
Issue:

SIFMA provides comment on the Massachusetts Securities Division’s proposed regulation “to apply a fiduciary conduct standard on brokerdealers, agents, investment advisers, and investment adviser representatives when dealing with their customers and clients.” SIFMA expresses concern the proposal, while well intentioned, will limit both the choices available to consumers and their access to one-on-one assistance.

See Press Release: SIFMA Comments on Massachusetts Fiduciary Rule Proposal (July 26, 2019)

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