Connect with us

Business

SEC focuses attention on conflicts of interest in financial advice for seniors, retirement savers – CNBC

The SEC is focusing on conflicts of interest among financial advisors and brokers this year, according to its list of examination priorities for 2021.

Published

on

Article feature image
ADVERTISEMENT

The headquarters of the US Securities and Exchange Commission (SEC).
The Securities and Exchange Commission will probe conflicts of interest in financial advice this year with more vigor, at a time when market conditions may lead brokers to take advantage of clients with greater frequency, the federal agency said Wednesday.
The financial regulator will prioritize fraud, sales practices and conflicts among financial advisors and brokers, the SEC said in its annual list of examination priorities,…

Click here to view the original article.

Continue Reading
Advertisement

You might also like ...

Article feature image
Asian shares near 1-1/2 week highs, Bitcoin recoups losses By Reuters – Investing.com
Article feature image
Coinbase Chief Executive Armstrong sold $291.8 million in shares on opening day – Reuters
Article feature image
Dr. Fauci joining Snapchat to boost vaccine confidence among target demographics in WH media blitz: report – Fox News