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Expert Analysis

What Presidential Election Means For Securities Regulation

By Amy Greer and Valerie Mirko (August 31, 2020, 4:29 PM EDT) -- The upcoming U.S. presidential election in November requires a close look at what a change in administration could mean for the securities industry. This brief video covers the U.S. Securities and Exchange Commission's examination and enforcement programs with a focus on broker-dealers, whether Regulation Best Interest is here to stay, the U.S. Department of Labor's recent fiduciary proposal, and developments in state regulatory and enforcement efforts. ...

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