SIFMA Slams States' Bid To Rewrite Broker Conduct Rules

By Sarah Jarvis (December 1, 2023, 8:19 PM EST) -- The Securities Industry and Financial Markets Association urged a coalition of North American securities regulators Friday to withdraw a proposal to revise a model rule governing broker-dealer conduct, arguing it is largely federally preempted and conflicts with a U.S. Securities and Exchange Commission regulation....

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