Share
Share today's newsletter with a colleague and get credit if they sign up for SmartBrief.
Referral Count:
 
0

Story being shared
SEC asked to reconsider arbitration clauses in adviser contracts
Massachusetts Secretary of the Commonwealth William F. Galvin wants the Securities and Exchange Commission to remove clauses in contracts between registered investment advisers and their clients that bind clients to mandatory arbitration to settle disputes. "At a minimum, the commission should commence a study of the issues raised by these provisions," Galvin wrote in a letter to the SEC.

Or we can send an email on your behalf
You must submit valid email addresses only. Use of email addresses is subject to terms of SmartBrief's privacy policy .