Monday, December 14, 2009
Plan to place B-D advisers under Finra scrapped
Hours before passing the most significant financial-reform package in nearly 80 years, the House Friday killed an amendment that would have given the Financial Industry Regulatory Authority Inc. the authority to regulate investment advisers at broker-dealers... The massive bill, which was passed by a vote of 223-202, would create a financial services oversight council to monitor the financial markets and potential threats to the nation's economic system... Investment News: Plan to place B-D advisers under Finra scrapped
Permalink posted by markw @ 5:23 AM 
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