SEC Outlines Priorities for Broker Exams
- Thursday, 24 July 2014
- Regulatory & Compliance
The Securities and Exchange Commission is likely to focus its exams next year on brokers with a history of regulatory problems and on the selling of mutual funds with high fees. So reports Reuters.
Read more...Most Read
-
-
Feb 21 2011
-
Written by Administrator
Add us to your Safe Sender list: We want to…
-
-
-
Nov 07 2012
-
Written by Administrator
Progressive Media Group Subscription Agreement This agreement states the general…
-
-
-
Dec 16 2013
-
Written by PLP Staff
The challenge of working with clients during a soaring bull…
-
-
-
Mar 09 2013
-
Written by Staff Writer
While market bulls are understandably cheering the ongoing equity rally…
-