UPDATE 1-U.S. SEC issues compliance focus areas for brokers before new rules take effect
The head of the examination
office at the U.S. Securities and Exchange Commission (SEC) on
Tuesday published details about the expected scope and content
for compliance with a new rule requiring broker-dealers and
investment advisers to disclose potential conflicts of interest.
office at the U.S. Securities and Exchange Commission (SEC) on
Tuesday published details about the expected scope and content
for compliance with a new rule requiring broker-dealers and
investment advisers to disclose potential conflicts of interest.
Posted by Reuters
