WASHINGTON -- FINRA may have abandoned its campaign to assume examination authority over investment advisors, but the industry regulator says it would be glad to help, should the SEC come asking.

"Our business card says investor protection, market integrity. That's what we try to do, and we try to do it by supporting the SEC," Bob Colby, FINRA's chief legal officer, said during a question-and-answer session at the group's annual conference on Friday.

Register or login for access to this item and much more

All Financial Planning content is archived after seven days.

Community members receive:
  • All recent and archived articles
  • Conference offers and updates
  • A full menu of enewsletter options
  • Web seminars, white papers, ebooks

Don't have an account? Register for Free Unlimited Access