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: Securities Law Prof Blog

House Defeats Amendment Subjecting B-D Investment Advisers to FINRA Regulation

By Securites Lawprof

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An amendment to the House financial regulation legislation that would have subjected investment advisers associated with broker-dealers to FINRA regulation was defeated by voice vote. This is a battle of the titans among influential lobbyists, as the broker-dealer groups go...

Full post as published by Securities Law Prof Blog on December 11, 2009 (boomark / email).

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