WASHINGTON (Reuters) – 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 ... More »
WASHINGTON (Reuters) – The financial industry wants the U.S. Securities and Exchange Commission to hold off on parts of a new rule requiring brokers to disclose potential conflicts of interest, citing disruptions caused by the coronavirus, four people with kno... More »
WASHINGTON U.S. securities regulators plan to scale back examinations of brokers so they can shift resources to improve oversight of investment advisers, which have traditionally faced less scrutiny, several people familiar with the matter said on Friday. The ... More »
