Regulation 187

Regulation 187

Regulation 187 “Best Interest” Suitability

 

A Changing Mosaic in SEC Regulation and Enforcement: BrokerDealers and Investment Advisers

https://scholarship.law.uc.edu/cgi/viewcontent.cgi?article=1221&context=uclr

The Fragmented Regulation of Investment Advice: A Call for
Harmonization

https://repository.law.umich.edu/cgi/viewcontent.cgi?article=1017&context=mbelr

THOMAS V. METROPOLITAN LIFE INSURANCE CO.:
SEMANTICS, FIDUCIARY DUTY, AND AN OUTDATED
DISTINCTION

https://www.law.du.edu/documents/denver-university-law-review/v89-2/LILES_TO_DARBY.pdf