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News October 2, 2017 Issue

SEC Work with DOL on Standards of Conduct Already Underway

SEC chairman Jay Clayton’s testimony before a Senate committee was not limited to cybersecurity. He also used his September 26 testimony before the Senate Committee on Banking, Housing and Urban Affairs to address other topics, including developing standards of conduct for advisers and broker-dealers – and let Congress and the public know that collaboration with the Department of Labor on these standards has already begun.

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