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Browse: Home / 2013 / December / 13 / U.S. Regulator Intensifies Scrutiny Of Fee-Based Accounts — Financial Advisor

U.S. Regulator Intensifies Scrutiny Of Fee-Based Accounts — Financial Advisor

By Securities Docket on December 13, 2013, 9:42 am

The top U.S. securities regulator is stepping up scrutiny of “reverse churning,” a practice in which brokerage firms trade very infrequently in accounts they manage for fixed fees, according to an official.

via U.S. Regulator Intensifies Scrutiny Of Fee-Based Accounts — Financial Advisor

Posted in SEC, Top | Tagged Reverse Churning

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