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Financial Planning Coalition Raises Concerns About SRO Proposal in House Subcommittee

Sep 13, 2011

On September 13, 2011, in a prepared statement for the record before the House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises, the Financial Planning Coalition raised concerns about a legislative proposal to establish an SRO for investment adviser oversight and reiterated serious concerns regarding the possibility of FINRA being designated as such an SRO.

Read the Coalition’s statement (PDF, 95KB)

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