SEC Ponders Definition of Broker.
| Position | Securities and Exchange Commission, investigation - Brief Article |
The Securities and Exchange Commission (SEC) is exploring a new issue affecting investors: whether broker-dealer services are being offered by online Web sites that are not regulated by the SEC. At issue are certain Web sites that may escape the SEC's jurisdiction, such as investment "portals." Portals allow customers to obtain multiple services at a single location, such as investment advice, financial...
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