Talking Point: SRO for Planners?

August 2009
Journal of Financial Planning;Aug2009, Vol. 22 Issue 8, p18
Academic Journal
The article focuses on the approach of having a self-regulatory organization (SRO) to take on a role of investment advisers in the U.S. It notes that Securities and Exchange Commission (SEC) chairman Mary Schapiro is looking at its merit. Schapiro reveals that SEC examiners are trying to perform their regulatory duties who oversee advisers in an argument in favor of the approach.


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