Advisory Factions Steel for End Game as SEC's Verdict on FINRA SRO Comes Down

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Advisory Factions Steel for End Game as SEC's Verdict on FINRA SRO Comes Down

Jan 14, 2011

Marilyn Mohrman-Gillis, managing director of public policy for the Certified Financial Planner Board of Standards Inc., acknowledged the political reality, saying: "If the SEC study seeks congressional authorization for one or more SROs for the oversight of investment advisors, the debate will move to what is the appropriate model for oversight of investment advisors. What should be the criteria? What should be the guidelines? How should it be structured?" Read more >

Elizabeth MacBride
January 14, 2011
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