Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Friday, January 4, 2008

FPA Calls on SEC for Roundtable on Rand Report

The Financial Planning Association (FPA), the plaintiff in the litigation that led to the D.C. Circuit's invalidation of the SEC Rule allowing broker-dealers to offer fee-based accounts under the statutory brokerage exemption, asked the SEC to host a roundtable to discuss the findings of the Rand Report, "Investor and Industry Perspectives on Investment Advisers and Broker-Dealers," that the SEC released yesterday.  InvNews, FPA calls for roundtable on RAND report.

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