FPA Convention: CFP Board Big Bashes Adviser SRO

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FPA Convention: CFP Board Big Bashes Adviser SRO

Sep 16, 2011

The SEC, not Finra, should have oversight of investment advisers — along with the appropriate funding from Congress — leaders of the Certified Financial Planner Board of Standards Inc. said at a media briefing today.

The CFP Board doesn't think that the Financial Industry Regulatory Authority Inc. is in a position to be the self-regulatory organization overseeing investment advisers, Marilyn Mohrman-Gillis, the board's managing director of public policy and communications, said at the briefing, which took place at the Financial Planning Association's Experience 2011 annual conference in San Diego. Read more >

Investment News
Caitlin Mollison
September 16, 2011

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