SEC Study Urges Unified Website For Investor Info

Law360, New York (January 27, 2011, 7:37 PM EST) -- A U.S. Securities and Exchange Commission study published Thursday calls for the agency to make a number of changes to two online databases about broker-dealers and investment advisers to make it easier for people to learn about investment professionals.

The study's primary recommendation suggests allowing investors to search two separate databases covering broker-dealers and investment advisers at once. The proposed change would let investors see unified search results either through the Financial Industry Regulatory Authority Inc.'s BrokerCheck website or through the Investment Adviser Public Disclosure site....
To view the full article, register now.

UK Financial Services

UK Financial Services

Read Our Latest UK Financial Services Coverage

Financial Services Law360 UK provides breaking news and analysis on the financial sector. Coverage includes UK and European Union policy, enforcement, and litigation involving banks, asset management firms, and other financial services organizations.