TITLE

TEN YEARS AGO AT THE INSTITUTE

PUB. DATE
June 1999
SOURCE
Journal of Financial Planning;Jun99, Vol. 12 Issue 6, p21
SOURCE TYPE
Academic Journal
DOC. TYPE
Article
ABSTRACT
The article highlights issues confronted by the U.S. financial planning industry ten years ago. It cites the proposal by the Securities and Exchange Commission to establish a self-regulatory organization (SRO) that will oversee and examine the regulation of registered investment advisers (RIA) in the country. It mentions the estimated fee paid to RIA in the country, as estimated by the National Association of Securities Dealers. It claims that the proposal was a result of the commission's failure to perform adequate inspections.
ACCESSION #
18751710

 

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