TITLE

Guest Article:The Big Question

AUTHOR(S)
Pribila, Matthew
PUB. DATE
July 2012
SOURCE
Mergers & Acquisitions Report;7/9/2012, Vol. 25 Issue 28, p7
SOURCE TYPE
Periodical
DOC. TYPE
Article
ABSTRACT
The author analyzes whether the U.S. Securities and Exchange Commission (SEC) is targeting investment advisers to be a self-regulatory organization (SRO). He reports that the SEC has recommended the Congress consider three alternatives, which include authorizing self-regulatory organizations to examine all SEC registered investment advisers. In addition, he notes, the SEC has recommended to authorize Financial Industry Regulatory Authority Inc. (FINRA) to examine registered investment advisers.
ACCESSION #
77782948

 

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