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News June 10, 2019 Issue

SEC Adopts Form CRS, Regulation Best Interest, Adviser Fiduciary and ‘Solely Incidental’ Interpretations

The SEC on June 5, with one commissioner dissenting, adopted the much-discussed Standards of Care package, including Form CRS, Regulation Best Interest, a new Commission interpretation of adviser fiduciary duty, and an interpretation relating to when a broker-dealer may give advice to a client without being considered an adviser.

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