The Dodd-Frank Wall Street Reform and Consumer Protection Act Standards of Conduct of Brokers, Dealers, and Investment Advisers

Format:

Book

Government document

Author/Creator:

Library of Congress. Congressional Research Service. American Law Division

Language:

English

Subjects (All):

Finance--Law and legislation.

Finance.

Investments.

Securities.

Stockbrokers.

Physical Description:

1 online resource

Contained In:

ProQuest U.S. Congressional Research Digital Collection

Place of Publication:

[United States] [publisher not identified] 2011

Summary:

Summarizes current standards of conduct for brokers, dealers, and investment advisers with regard to their dealings with investors. Outlines changes to these standards under Section 913 of P.L. 111-203, the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), which establishes a new approach toward defining standards of conduct for these financial industry professionals; and considers SEC responses

Notes:

CRS Report

Record is based on bibliographic data in ProQuest U.S. Congressional Research Digital Collection (last viewed May 2015). Reuse except for individual research requires license from ProQuest, LLC

Vendor supplied data

Other Format:

Microfiche version Library of Congress. Congressional Research Service. American Law Division. Dodd-Frank Wall Street Reform and Consumer Protection Act

Publisher Number:

CRS-2015-AML-0119

Access Restriction:

Restricted for use by site license