SEC Seeks More Examiners, but SRO Idea Still Looming

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SEC Seeks More Examiners, but SRO Idea Still Looming

Feb 19, 2012

The Financial Planning Coalition is making the rounds on Capitol Hill with a Boston Consulting Group report that it had commissioned showing that the [SEC's] OCIE [Office of Compliance Inspections and Examinations] could increase the number of times it examines an adviser from once every 11 years to once every four years with a $105 million annual increase in the division's budget.

"You have existing infrastructure in place [at the SEC] that just needs to be funded," said Marilyn Mohrman-Gillis, managing director of public policy and communications at the Certified Financial Planner Board of Standards Inc. Read more >

Investment News
Mark Schoeff Jr.
February 19,2012

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