Thanks to the SEC, history is in replay mode, and the consumer again is at the bottom of the pile. On April 12, 2005, the SEC adopted Rule 202(a)(11)-1 (aka the Merrill Lynch rule), which appeared to ban brokers from providing financial planning services (i.e., something more than incidental advice) under Washington-based NASD's rules of fee-based services.
Battle Over Broker Rule Heightened by SEC Guidance
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