WASHINGTON -- A senior executive with FINRA sought to tamp down the concerns that many investment advisors have raised about empowering the self-regulatory organization with oversight of the sector, pledging Wednesday that significant reforms would accompany any such transition.
In an address here at the Financial Services Institute's (FSI) annual Advocacy Summit, FINRA Vice Chairman Steve Luparello explained that the organization is mindful of the nuances that distinguish the investment advisor sector from the broker-dealers currently under its purview.
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