Securities Law Prof Blog

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

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Monday, March 21, 2011

Oxley Works on Behalf of FINRA for Adviser SRO

Investment News reports that FINRA has hired Michael Oxley (of Sarbanes-Oxley) as a lobbyist to advocate its position for a SRO (presumably FINRA) for investment advisers.  Finra hires big gun to lobby for advisor biz SRO

http://lawprofessors.typepad.com/securities/2011/03/oxley-works-on-behalf-of-finra-for-adviser-sro.html

News Stories, Other Regulatory Action | Permalink

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