Updated Tuesday, July 29, 2014 as of 12:38 AM ET
Practice - Regulatory/Compliance
SEC to Step Up Reviews of New and Unexamined Advisors
Friday, January 10, 2014

WASHINGTON -- The SEC is putting advisors on notice that its examiners will cast a wide net in their reviews of investment advisors over the coming year, identifying a litany of priorities that includes probing for fraudulent activity, conflicts of interest and paying a visit to advisors who have never been examined before.

Get access to this article and thousands more...

All On Wall Street articles are archived after 7 days. REGISTER NOW for unlimited access to all recently archived articles, as well as thousands of searchable stories. Registered Members also gain access to exclusive industry white paper downloads, web seminars, blog discussions, the iPad App, CE Exams, and conference discounts. Qualified members may also choose to receive our free monthly magazine and any of our daily or weekly e-newsletters covering the latest breaking news, opinions from industry leaders, developing trends and growth strategies.

Already Registered?

2014 Summer Reading List for Advisors

Current Issue

The June Issue is now online!


Industry Events

August 10, 2014 |

September 9, 2014 |

September 17, 2014 |

September 20, 2014 |

September 28, 2014 |

Already a subscriber? Log in here