SEC describes investment professional regulation study.The SEC has published a draft contract proposal in preparation for a study comparing how the different regulatory reg·u·late tr.v. reg·u·lat·ed, reg·u·lat·ing, reg·u·lates 1. To control or direct according to rule, principle, or law. 2. systems that apply to broker-dealers and investment advisers affect investors. The document, a "Request for Information," is the latest in a series of steps toward a major study of investor protection for financial service customers. While broker-dealers are regulated reg·u·late tr.v. reg·u·lat·ed, reg·u·lat·ing, reg·u·lates 1. To control or direct according to rule, principle, or law. 2. under the Securities Exchange Act of 1934, investment advisers are regulated under the Investment Advisers Act of 1940. The study will examine how the disparate regimes affect investors. |
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