Politics of Adviser Oversight Starting to Change

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Politics of Adviser Oversight Starting to Change

Mar 15, 2013

SEC user-fee bill puts advisers on offense

Last year, investment advisers were playing defense on Capitol Hill on the issue of regulation. This year, they're on offense, and that gives the debate a different flavor.

“We're in the process of educating lawmakers – both on the House Financial Services Committee and the Senate Banking Committee – that there is an investor-protection problem that needs to be addressed and the user-fee bill is the best solution,” said Marilyn Mohrman-Gillis, CFP Board managing director for public policy and communications. Read more >

Mark Schoeff Jr.
March 15, 2013

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