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A Fiduciary Duty for Broker-Dealers?

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Coursebook Papers:

Table of Contents

Fiduciary Duty for Broker-Dealers? (38 pp) By Anna T. Pinedo Hillel Cohn

The Dodd-Frank Act: Summary Chart (2 pp)

The Dodd-Frank Act: A Cheat Sheet (30 pp)

The Dodd-Frank Act: Milestones (2 pp)

A Fiduciary Duty for Broker-Dealers? How Dodd-Frank May Change the Way Broker-Dealers Conduct Business (6 pp)

SEC Adopts Final Rule Regarding Risk Management Controls for Broker-Dealers with Market Access (6 pp)

Structured Thoughts – News for the Financial Services Community (12 pp)