FINRA: Agency advocating on Capitol Hill for adviser SRO
Finra is investing substantial resources to persuade Congress to authorize a self-regulatory organization for investment advisers. Finra would…
Finra is investing substantial resources to persuade Congress to authorize a self-regulatory organization for investment advisers. Finra would like to become the adviser SRO. The agency has hired Michael Oxley, a former chairman of the House Financial Services Committe, to help make its case. (See related story.)
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