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This article discusses the DOL’s November 2023 proposed fiduciary rule amendments, including proposed amendments to Prohibited Transaction Exemption (PTE) 2020-02, and their impact on SEC-registered investment advisers.
The IAA submitted a comment letter urging the SEC to make additional changes to its proposed rule relating to the safeguarding of advisory client assets.
The IAA has submitted a supplemental comment letter urging the SEC to exclude SEC-registered investment advisers and their clients from the proposed definition of dealer.
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