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AFR Statement: SEC Advisory Committee Right to Seek Major Changes to Broker Standards Proposal
November 7, 2018 – 3:56 pm

What we heard today from the diverse membership of the SEC’s own advisory committee is that they share our view that the proposed Reg BI would not protect investors. The IAC has called on the SEC to instead pass rules that make clear that brokers have a legal obligation to act in the best interests of their clients.