SEC Releases Study on Investor Access to Registration Information About Investment Advisers and Broker-Dealers

As required by section 919B of The Dodd-Frank Wall Street Reform and Consumer Protection Act 2010, the Securities and Exchange Commission has published a staff study recommending steps to help investors better access information about investment professionals. Investors must currently search two separate databases for information about broker-dealers and investment advisers. The primary recommendation of the study is to enable investors to simultaneously search both databases using either FINRA's BrokerCheck website or the Investment Adviser Public Disclosure website and receive unified search results.

Originally Published: 
26/01/2011