SEC Staff Study on Access to Information About Investment Professionals

By Daren R. Domina on February 4, 2011

Posted in Broker-Dealer, Dodd-Frank Developments

On January 27, the Securities and Exchange Commission issued a staff study on improving investor access to information about investment advisers and broker-dealers. For more information, please see "SEC Staff Study on Access to Information About Investment Professionals" in Investment Companies and Investment Advisers below.