• SEC Merrill Lynch Rule Struck Down by the US Court of Appeals
  SEC's Merrill Lynch Rule Struck Down by the US Court of Appeals In a 2 to 1 decision this morning, the US Court of Appeals struck down the US Securities
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• SECs Merrill Lynch Rule Struck Down by the US Court of Appeals - Financial Advisors, Investment Counselors, and the Financia...
  SECs Merrill Lynch Rule Struck Down by the US Court of Appeals - Financial Advisors, Investment Counselors, and the Financial Industry > Are Your Best Interests the Same as the Financial Services Industry? - Financial Articles, In a 2 to 1 decision this morning March 30, 2007 , the US Court of Appeals struck down the US Securities and Exchange Commission's rule on fee based broker accounts, which as become commonly known as the Merrill Lynch Rule. This rule was first proposed in late 1999 and formally adopted in 2005. This rule allowed stockbrokers to act as advisors and to charge percent of assets fees. Prior to this rule, only investment advisors who registered with the SEC or with the states and who were regulated under the Investment Advisers Ac...
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