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Objecting to the long-standing and controversial practice of brokers operating under the title of 'investment adviser' without registering as a fiduciary with the SEC, CFA Institute is calling on the SEC to take immediate action.

CFA Institute, charter to 150,000 fiduciary investment professionals globally, is calling on the Securities and Exchange Commission to take immediate regulatory action that would prohibit non-fiduciary investment brokers from holding themselves out as investment advisers.

Nick Thornton


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