TD Foots Bill for Study of Investment Adviser Oversight

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TD Foots Bill for Study of Investment Adviser Oversight

Aug 14, 2011

"We applaud TD Ameritrade for launching the study and we look forward to seeing the results," Marilyn Mohrman-Gillis, the CFP Board's managing director of public policy and communications, said in a statement. "The important outcome for the public is to enhance oversight of investment advisers to increase investor protection and confidence in the markets."

The CFA and the CFP Board both prefer that adviser oversight remain under the purview of the SEC, although the consumer group said recently that an SRO would be preferable to the status quo. Read more >

Investment News
Mark Schoeff, Jr.
August 14, 2011

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