WASHINGTON -- Advisors who are new registrants with the SEC or veterans who haven't been examined in many years should expect to hear from regulators in short order, according to a prominent securities lawyer.
Thomas Giachetti, the chair of the securities practice group at the law firm Stark and Stark, described a significantly more aggressive SEC that is more closely scrutinizing the RIAs under its purview, in a presentation Monday at the annual Schwab Impact conference.
Register or login for access to this item and much more
All Financial Planning content is archived after seven days.
Community members receive:
- All recent and archived articles
- Conference offers and updates
- A full menu of enewsletter options
- Web seminars, white papers, ebooks
Already have an account? Log In
Don't have an account? Register for Free Unlimited Access