Most Dodd-Frank Adviser Changes Remain Up in the Air

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Most Dodd-Frank Adviser Changes Remain Up in the Air

Jul 17, 2011

Adviser SRO: Finra is all for extending its authority to hybrid advisers and spent $300,000 lobbying Congress during the first quarter—42% more than the comparable period last year. Investment advisers and the Certified Financial Planner Board of Standards Inc., meanwhile, want the SEC to continue as the adviser regulator, which means they're going to have to convince Congress that a user fee isn't a tax. Read more >

Investment News
Liz Skinner
July 17, 2011

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