SEC Investor Advocate Fleming targets fees charged by advisers
Rick Fleming will push the agency to follow through on its review of how brokers and investment advisers disclose their fees to clients.
To SEC investor advocate Rick A. Fleming, improved disclosure of fees and expenses charged by financial advisers is a top priority in the new fiscal year, which begins in October.
Mr. Fleming will push the Securities and Exchange Commission to follow through on its review of how brokers and investm
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