Securities Law Prof Blog

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

Tuesday, November 3, 2009

Investment Advisors Resist FINRA Oversight

The investment advisory community continues its opposition to FINRA's assuming oversight over investment advisors.  Investment News reports that industry leaders have expressed opposition to an amendment to the Investor Protection draft legislation that would give the SEC the authority to delegate oversight of investment advisors to FINRA.  NASAA has also expressed concern over possible dilution of the fiduciary standard.  InvNews,  Power play: Advisory industry pressing to halt expansion of Finra's oversight

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