SEC Concluding Busy Year of Enforcement Actions
The Securities and Exchange Commission has maintained an increased pace of enforcement actions against investment advisors this year. So reports AdvisorOne.
The SEC has brought 146 enforcement actions against advisors this year, which is one more than all of last year. The regulatory agency has brought 134 actions against broker-dealers, a 19% increase from last year. Read the full article from AdvisorOne here.
