Subscribe

SEC questions require answers

The SEC must be more transparent about its new questionnaire. What is the ultimate purpose? What justification is there?

The Securities and Exchange Commission, though claiming it is too underfunded to hire all the staff it needs to carry out all of its core responsibilities, suddenly is expending resources in an area that seems to belong to the Department of Labor.

As reported in this issue of InvestmentNews, the

Subscribe or log in to read the rest of this content.

Related Topics:

Learn more about reprints and licensing for this article.

Recent Articles by Author

Red Zone Calculator

Measure your firm's and your clients' profitability

Top clearing and custody firms for financial advisers

InvestmentNews gathers client and asset data to assemble company rankings

What’s a disruptive force that no one is talking about?

Executives from top advice firms, national brokerages and tech firms describe challenges the advice industry needs to be prepared to address.

Challenge or opportunity?

Broker-dealer leaders discuss the future of plan advice and the participant experience.

X

Subscribe and Save 60%

Premium Access
Print + Digital

Learn more
Subscribe to Print