The Paperless Investment Adviser

Thompson, Duane R.
April 2000
Journal of Financial Planning;Apr2000, Vol. 13 Issue 4, p34
Academic Journal
This article focuses on the government effort in designing an online registration and disclosure system for financial advisers in the U.S. An industry panel called the Investment Advisers Registration Depository was set up to review the prototype for the project. The Securities and Exchange Commission (SEC) is funding the initial phase of the project, which is being developed and administered by NASD Regulation Inc., in cooperation with the SEC and the North American Securities Administrators Association. Many in the industry recognize the utility of the adviser database link with the depository for registered representatives of the NASDR. The Financial Planning Association sees significant long-term advantage for its members with the introduction of the database.


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