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: SECLaw.com

House scraps amendment to place B-D advisers under Finra - Investment News

By Mark H. Astarita, Esq.

Hopes for a more streamlined regulatory system for dual registered investment advisers and brokers at brokerage firms were dashed today as the House of Representatives has killed the proposal to have FINRA regulate investment advisers who are also registered representatives as a brokerage firm. Congress is exploring other alternatives, and there is no word as to whether yet another regulatory agency will be created, or the current SEC/State system will remain in place for investment advisers. Either way, investment advisers at brokerage firms will continue to have to separate, and duplicative, oversight entities. >>>More

Full post as published by SECLaw.com on December 11, 2009 (boomark / email).

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