• / Free eNewsletters & Magazine
  • / My Account
Home>BDs Bear Burden of New SEC Rules on Lost Security Holders

BDs Bear Burden of New SEC Rules on Lost Security Holders

Advisor One

Wed, 2 Jan 2013

The SEC approval, which was unanimous, requires broker-dealers to conduct searches for holders of securities with whom they have lost contact.

Related Videos

  1. Key Metrics for Money Market Funds

    With the SEC dismissing a plan to reform the money fund industry, Morningstar's Eric Jacobson examines potential risks as well as focus points for investors going forward.

  2. What Would Reform Mean for Your Money Market Fund?

    Morningstar's Christine Benz and Miriam Sjoblom debrief investors on the floating NAV, capital buffer, and redemption restriction proposals for money market funds.

  3. How to Spot Con Men Before They Spot You

    Doug Shadel of the AARP provides a detailed outline of common scams and tactics con men use, reasons investors fall for them, and tips so that you don't become a victim of financial fraud yourself.

Upcoming Events

©2014 Morningstar Advisor. All right reserved.