SEC to tighten the oversight of investment firms

06/30/2010 | InvestmentAdvisor.com

The Securities and Exchange Commission has signaled that it plans to offer a proposal by March that would harmonize rules for financial brokers and advisers, even as it prepares to increase scrutiny of investment-advisory firms under the resources it would gain from federal financial-reform legislation. Financial analysts say any forthcoming rules would likely involve enhanced oversight of advisers.

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