Regulate Investment Advisers, Financial Planning Coalition Tells SEC

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Regulate Investment Advisers, Financial Planning Coalition Tells SEC

Dec 16, 2010

On December 16, 2010, the Financial Planning Coalition sent a letter to the Securities and Exchange Commission (SEC) providing comment on the study to enhance investment adviser examinations under Section 914 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, urging the Commission to adequately regulate investment advisers without delegating such responsibility to a self-regulatory organization such as the Financial Industry Regulatory Authority (FINRA).

Read the Coalition’s letter (PDF, 111KB)

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