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SEC building Today’s vote was the culmination of a debate that’s spanned nearly two decades over broker-dealers’ standards of conduct and the impact of conflicts of interest on average investors.(Photo: Diego M. Radzinschi/ALM)

The Securities and Exchange Commission voted by a 3-to-1 margin to finalize four agenda items that include new standards of conduct for broker-dealers’ recommendations to retail investors, known as Regulation Best Interest, and a new interpretation of investment advisers’ fiduciary obligations.

Nick Thornton

BenefitsPRO

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