Compliance Alerts
"Chance favors the prepared mind."
-Louis Pasteur-
Deadline for Compliance with Disposal Rule - July 1 [Word Doc]
SEC Investor Alert - All About Auto Trading [Word Doc]
In conjunction with the filing of civil charges in the Terry's Tips case, the SEC has issued an investor alert entitled "All About Auto-Trading." The alert, which appears on the Commission's Website (www.sec.gov), lists the steps investors should take to vet any auto-trading program before handing over access to their accounts. Your clients may be reading about this in their local newspapers and calling you with questions!
SEC takes close look at brokers!
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