Adviser Oversight Bill May Turn on How You Define “SRO”

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While legislation regarding adviser oversight has slowed, the debate has not. The latest facet of the debate is whether FINRA can really be characterized as an “independent regulator.”

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Published In: Business Organization Updates, Finance & Banking Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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