In the End, Votes Count in the Broker/Adviser Donnybrook

Thompson, Duane
May 2007
Journal of Financial Planning;May2007, Vol. 20 Issue 5, p32
Academic Journal
The article discusses the broker/dealer rule, a piece of legislation being processed in the United States which will exempt fee-based brokerage programs from the Investment Advisers Act of 1940. The controversial legislation will most likely go to the United States Congress, where it will be debated by the House Financial Services Committee and the Senate Banking Committee. It is supported by the Securities and Exchange Commission, which has already been denied by the federal appeals court.


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