The SEC’s Division of Enforcement is likely to be active in 2020, investigating several issues important to broker-dealers and investment advisers.
In this Bottom Line videocast, Brian Rubin and Adam Pollet discuss:
Cash sweeps and reverse churning.
Retirement plans and 403(b) and 457 plans.
Regulation Best Interest.
Discover more of the latest legal news and topics discussed by subscribing to the Eversheds See more +
The SEC’s Division of Enforcement is likely to be active in 2020, investigating several issues important to broker-dealers and investment advisers.
In this Bottom Line videocast, Brian Rubin and Adam Pollet discuss:
Cash sweeps and reverse churning.
Retirement plans and 403(b) and 457 plans.
Regulation Best Interest.
Discover more of the latest legal news and topics discussed by subscribing to the Eversheds Sutherland Legal Insights Podcast Channel. See less -
