When it comes to the type of advice investment advisers and broker-dealers give, the SEC wants to know if new rules are needed to ensure that the information they’re sharing fits with their clients’ needs.
Regulator wants investor input on whether new regulations are needed.
On the heels of the announcement that SEC Chairman Mary Schapiro would be leaving the agency on Dec. 14, other officials followed suit.
Other priorities next year will include hiring more examiners to police advisers, JOBS Act rulemaking on Reg D, crowdfunding.
A current SEC commissioner who has worked at the agency in several capacities, Elisse Walter has been tapped to become the new SEC chairman.
SEC to hold hearing in Alabama