SEC accused of ‘regulation by enforcement’ as critics on both sides circle
February 5, 2024 by John Hilton
The Securities and Exchange Commission (SEC) is getting heat from both investor and advisor groups this week over its regulatory strategies.
Representing advisors and their firms, the Financial Services Institute said the SEC is doing too much “regulation by enforcement.” In other words, the agency is finding violations from advisors and firms who are trying to comply in good faith.
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Originally Posted at InsuranceNewsNet on January 31, 2024 by John Hilton.
Categories: Industry Articles