Securities and Exchange Commissioner Laura Unger is putting the finishing touches on her much-anticipated online brokerage report, and it may see the light of day within two weeks, Unger said at a Nov. 1 “Online Suitability Roundtable” sponsored by the North American Securities Administrators Association.
Unger’s report will include sections on suitability, industry trends, chat rooms and bulletin boards, best execution, market data, systems capacity, investor education, portals, and privacy. She will make recommendations for SEC action on each of these topics, and even hinted that possible rulemaking will be included among her recommendations.
This content has been archived. It is available through our partners, LexisNexis® and Bloomberg Law.
To view this content, please continue to their sites.
Not a Lexis Subscriber?
Subscribe Now
Not a Bloomberg Law Subscriber?
Subscribe Now
LexisNexis® and Bloomberg Law are third party online distributors of the broad collection of current and archived versions of ALM's legal news publications. LexisNexis® and Bloomberg Law customers are able to access and use ALM's content, including content from the National Law Journal, The American Lawyer, Legaltech News, The New York Law Journal, and Corporate Counsel, as well as other sources of legal information.
For questions call 1-877-256-2472 or contact us at [email protected]