TITLE

ICFP to be Included in Broker/Dealer Dialogue, Levitt Says

PUB. DATE
December 1998
SOURCE
Journal of Financial Planning;Dec1998, Vol. 11 Issue 6, p72
SOURCE TYPE
Academic Journal
DOC. TYPE
Article
ABSTRACT
This article reports on a meeting between U.S. Securities and Exchange Commission Chairman Arthur Levitt and leaders of the Institute of Certified Financial Planners, reassuring the institute that it would be part of any dialogue involving proposed broker/dealer oversight of advisory activities. The institute's request to meet with Levitt was prompted in part by public comments of National Association of Securities Dealers Regulation (NASDR) Chairman Frank Zarb. Zarb was quoted in the trade press as telling independent brokers/dealers that he had met with Levitt and told him that the NASDR should have jurisdiction over investment advisers.
ACCESSION #
1401053

 

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