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SEC extends no-action relief to broker-dealers who rely on registered investment advisers to perform customer identification program obligations

USA - February 27 2013 On January 11, 2013, the SEC's Division of Trading and Markets extended previously granted no-action relief that allows broker-dealers, subject to…

Mary Conway, John G. Crowley, Nora M. Jordan, Yukako Kawata, Leor Landa, Julie E. Parker, Gregory S. Rowland, Mario J. Verdolini

SEC expected to move forward with uniform fiduciary standard

USA - February 27 2013 On January 16, 2013, Kenneth E. Bentsen Jr., executive Vice President of public policy and advocacy for SIFMA, said that he expects the SEC to issue…

Mary Conway, John G. Crowley, Nora M. Jordan, Yukako Kawata, Leor Landa, Julie E. Parker, Gregory S. Rowland, Mario J. Verdolini