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.
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