Updated Saturday, December 20, 2014 as of 11:02 PM ET

SEC Zeros In on Potential Conflicts of Interest

The Securities and Exchange Commission plans to take a close look at potential conflicts of interest in the investment-advisor practices that its examiners oversee. It will also ramp up scrutiny of the marketing and performance claims of federally registered advisors, according to the examination guidance the agency issued for the coming year.

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?

Comments (0)

Be the first to comment on this post using the section below.

Add Your Comments:
Not Registered?
You must be registered to post a comment. Click here to register.
Already registered? Log in here
Please note you must now log in with your email address and password.

Already a subscriber? Log in here