With Focus on Advisors, SEC Continues Record Pace of Enforcement Actions

The Securities and Exchange Commission has filed 734 enforcement actions in the past year, one shy of last year’s record of 735, with a focus on investment advisors.

Get access to this article and thousands more...

All Financial Planning 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?