Outside Publication

SEC Pitches Proposed Rules for Brokers Giving Advice to Retail Investors

June 2018

Morgan Lewis lawyers Steven Stone, Jennifer Klass, Lindsay Jackson, Brian Baltz, and Kyle Whitehead authored an article in Thomson Reuter’s publication Wall Street Lawyer that detailed several key aspects and questions raised by the Securities and Exchange Commission’s recent proposal on standards of conduct for broker-dealers and investment advisers that provide advice to retail investors.

Read the full article published in the June 2018 issue of Wall Street Lawyer (vol. 22, No. 6), a Thomson Reuters publication >>