Recommendations of the Investor as Purchaser Subcommittee re: Broker-Dealer Fiduciary Duty


SIFMA provides comments to the Securities and Exchange Commission (SEC) as a response to recommendations on how the SEC should implement a uniform fiduciary standard for broker-dealers and investment advisers when providing personalized investment advice to retail customers.

This is regarding the draft document containing findings and recommendations posted on October 1, 2013 by the Investor as Purchaser Subcommittee of the SEC’s Investor Advisory Committee.
(SEC Investor Advisory Committee; File No. 265-28)