SEC may get a push toward broker reforms | Business Information & News | Westlaw

SEC may get a push toward broker reforms | Business Information & News | Westlaw

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11/21/13 REUTERS 18:13:00
REUTERS
Copyright © 2013 Thomson Reuters
November 21, 2013
SEC may get a push toward broker reforms
By Suzanne Barlyn
(Reuters) - The U.S. Securities and Exchange Commission, which has long been weighing tough new ethical standards for securities brokers, may get a nudge on Friday, when a key advisory committee is expected to vote in favor of...
---- Index References ----
Company: FINANCIAL INDUSTRY REGULATORY AUTHORITY INC
News Subject: (Consumer Protection (1CO43); Regulatory Affairs (1RE51); Legal (1LE33))
Industry: (Insurance Regulatory (1IN40); Personal & Institutional Investing (1PE62); Insurance (1IN97); Insurance Brokerage (1IN33); Financial Services (1FI37); Financial Services Regulatory (1FI03); Insurance Industry Legal Issues (1IN64))
Region: (New Jersey (1NE70); U.S. Mid-Atlantic Region (1MI18); Americas (1AM92); USA (1US73); North America (1NO39))
Language: EN
Other Indexing: (Barbara Roper; Arthur Laby; Joseph Grundfest; Jonathan Ernst; Mary White)
Keywords: securities (MCC:f); (N2:US); (N2:FIN); (N2:FINS); (N2:AMERS); (subj:04000000); (subj:04006000); (N2:USA); (a1312cat:f); (MCCL:OEC)
Word Count: 990
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