Study and Recommendations on Improved Investor Access to Registration Information About Investment Advisers and Broker-Dealers
The SEC release a staff study, required by § 919B of the Dodd-Frank Act, on improving access to registration information about investment advisers and broker-dealers. The study makes a number of recommendations - which § 919B requires the SEC to implement within 18 months - regarding the expanded use of BrokerCheck and IAPD and of how the SEC can make those services more useful for investors.
Date
January 26, 2011
Cross References
Dodd-Frank § 919B