Posts Tagged ‘New Jersey Bureau of Securities’
New Jersey Bureau of Securities Proposes New Rule to Create State-Level Fiduciary Duties For Broker-Dealers, Associated Persons, Investment Advisers and Investment Adviser Representatives
On April 15, 2019, the New Jersey Bureau of Securities, within the Division of Consumer Affairs, proposed a new state-level rule requiring all registered financial services professionals to act in accordance with the fiduciary duty to their customers when providing investment advice or recommending to a customer an investment strategy, the opening of or transfer…
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