Financial Services Industry
Industry: Email Alert RSS FeedMemo to the SEC: Scrap Merrill rule. (Editorial).
Investment News, May, 2002
The decision by Merrill Lynch & Co. Inc. to pay $100 million, and change how it monitors and pays its stock analysts, may have put out one fire, but the deal that ended the investigation by New York state Attorney General Eliot L. Spitzer has started several others.
A number of class actions are pending against the New York company, and the settlement of the attorney general's case won't stop the Securities and Exchange Commission from pursuing its probe. But the piling-on doesn't end there.
The Financial Planning Association jumped into the fray last week when it urged the SEC, the National Association of Securities Dealers and state securities regulators to reconsider a pending SEC rule that would exempt stockbrokers from registering as...
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