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Schapiro Cautions Broker-Dealers on Compensation
September 01, 2009
Yesterday, the SEC issued a letter sent by Chairman Mary Schapiro to the chief executives of major broker-dealer firms cautioning them that, as they grow and recruit broker-dealer representatives, they should be mindful that enhanced compensation and bonus structures designed to attract new recruits… read more
SEC Publishes “Pay to Play” Rule Proposals
August 04, 2009
As we mentioned in our July 21, 2009 post, "Pay to Play" Rule Proposals on SEC Agenda, at its July 22 open meeting, the Commission proposed rules designed to address "pay to play" practices in the investment adviser industry. These rule proposals would:… read more