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Home > Blog > Regulation Takes Aim At Stockbrokers, Investment Advisors

Regulation Takes Aim At Stockbrokers, Investment Advisors

Financial investment advisors and stockbrokers could face new rules and regulations in the future under draft legislation sent to Capitol Hill by the U.S. Treasury. The legislation is designed to strengthen investor protections and includes such provisions as establishing consistent standards for anyone who gives investment advice about securities, improving the timing and quality of disclosures, and requiring accountability from securities professionals. The legislation also would establish a permanent Investor Advisory Committee to keep the voice of investors present at the Securities and Exchange Commission (SEC).

To view the draft legislation in its entirety, go to

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