Thursday, August 03, 2006
SEC To Examine Gap Between IA and B-D Rules
The U.S. Securities and Exchange Commission will be hiring researchers to study how the different regulatory structures for investment advisors and broker-dealers affect investors.
The SEC has issued a request for study contract proposals.
SEC To Examine Gap Between IA and B-D Rules
Source: National Underwriter (subscription required)
The SEC has issued a request for study contract proposals.
SEC To Examine Gap Between IA and B-D Rules
Source: National Underwriter (subscription required)
Permalink posted by armandn @ 11:47 AM 
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