• Home
  • About
  • ‘Enforcement 40’ for 2020
  • Webcasts
  • Enforcement Hall of Fame
  • Contact
Securities Docket
FTI 480x60
  • Class Actions
  • Criminal
  • Global
  • People
  • SD Insider
  • SEC
  • Video
  • Subscribe by email
  • Subscribe
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

Blog Widget by LinkWithin

Posted in SEC, Top | Tagged Reverse Churning

« Previous Next »

Subscribe

‘Enforcement 40’ for 2020

Securities-Docket_Medium-Rectangle_CaseStudyArrow

Our Sponsors

Securities-Docket_260x125_14Sec Ankura 260x125

Join Us On LinkedIn

Join the Securities Litigation and Enforcement Group on LinkedIn

Archives

Copyright © 2022 Securities Docket.

Powered by WordPress and Hybrid.