Financial Services Industry
Industry: Email Alert RSS FeedFSI hopes to state case to SEC consultants; RAND Corp. to begin soliciting input on how advisers and brokers are regulated.(News)
Investment News, March, 2007
Byline: Bruce Kelly NEW YORK - The Financial Services Institute Inc. hopes to bend the ear of the consulting firm chosen by the Securities and Exchange Commission to consider the effect on investors of applying differing regulatory standards to broker-dealers and investment advisers. RAND Corp., which was tapped by the SEC in September to look into the issue, soon will start talking with industry officials and consumer groups.
If given the opportunity, officials from the Atlanta-based FSI will emphasize what they consider an uneven playing field of regulation between brokers, which are members of NASD of Washington, and registered investment advisers, which are regulated by individual states and the SEC. "I think it's uneven in terms of...
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