Updated Friday, April 25, 2014 as of 2:16 AM ET
Practice - Regulatory/Compliance
FSI, FINRA Turn up the Heat on Invesment Advisor SRO Discussions
Financial Planning
Tuesday, May 29, 2012
Print
Email
Reprints

The Financial Services Institute issued a letter arguing an SRO modeled after FINRA is best of all alternatives, and FINRA rebutted criticism of its cost estimates for an investment advisor regulator.

Get access to this article and thousands more...

All Financial Planning articles are archived after 7 days. REGISTER NOW for unlimited access to all recently archived articles, as well as thousands of searchable stories. Registered Members also gain access to exclusive industry white paper downloads, web seminars, blog discussions, the iPad App, CE Exams, and conference discounts. Qualified members may also choose to receive our free monthly magazine and any of our daily or weekly e-newsletters covering the latest breaking news, opinions from industry leaders, developing trends and growth strategies.

Already Registered?

(?) What Do You Think?

What do you think? What should a new SRO be modeled after?

DISCUSS

Lists
Advisors on the Move: Cambridge Snags $500 Million Team

Current Issue

The April Issue is now online!


TWITTER
FACEBOOK
LINKEDIN

Industry Events

Already a subscriber? Log in here