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An Entity of Type : prov:Entity, within Data Space : webisadb.webdatacommons.org associated with source dataset(s)

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  • An investment adviser that proposes to use client commissions outside of the safe harbor, for example to acquire products or services other than brokerage or research, would need to carefully consider its obligations pursuant to its fiduciary duties to its clients, and under the antifraud provisions of the federal securities laws.
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