The Securities and Exchange Commission staff has issued a report summarizing the results of a sweep examination of the retail structured securities products business of 11 broker-dealers, covering a cross-section of the industry. The report identifies common weaknesses seen in sales of structured securities products and describes measures by broker-dealers to better protect retail investors from fraud and abusive sales practices.
The report can be viewed at http://www.sec.gov/news/studies/2011/ssp-study.pdf
Subscribe to:
Post Comments (Atom)
No comments:
Post a Comment