Capitol Report: SEC urged to create single site for broker, adviser background checks

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Published in TZ Latest News 9 April, 2015 by The TZ Newswire Staff

Capitol Report: SEC urged to create single site for broker, adviser background checks

A panel advising the SEC is pushing for a single database to conduct background checks of both investment advisers and brokers as a way to cut down on fraud targeting the elderly.
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Editorial Archives

Published in TZ Latest News 9 April, 2015 by The TZ Newswire Staff

Capitol Report: SEC urged to create single site for broker, adviser background checks

See also

Editorial Calender

Recent Tags