Barbara Black


Securities markets, pensions, social security, brokerage firms, fee-based accounts, advertisements, Investment Advisers Act, SEC, SEA, IAA, financial planners, broker-dealers, broker-dealer exclusion, Public Utility Holding Company Act of 1935, Investment Company Act, policy reasons for expanding broker-dealer exclusion, Committee on Compensation Practices, Abuses of Customers, NYSE, NASD, NYSE Rule 405A, SEC No-Action Letter, Final Rule



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