Date: June 23, 2017

Issue: Regulatory Reform

To: Diana Foley, Securities Adminstrator, Office of the Secretary of State

Filing Type: Letter

Details: The U.S. Chamber submitted a joint letter expressing concern on SB 383. This legislation, signed by the governor of Nevada, removes the exemption for broker-dealers, investment advisers, and sales representatives from the definition of "financial planner" thereby extending financial planner-specific duties and liabailities to them. 

Download PDF