Nicholas Pension Consultants
Compensation Strategies Group, Ltd.
The Retirement Plan Company (TRPC)/an ABG firm
Atlantic Pension Services Inc
Nova 401(k) Associates
“BenefitsLink continues to be the most valuable resource we have at the firm.”
-- An attorney subscriber
|Why RIA Advocates Still Fear FINRA Oversight|
FinancialPlanning; free registration required
Mar. 5, 2015
"There is no consensus within the SEC for how to address advisor oversight. Both the user-fee proposal and the idea of tapping FINRA or some other self-regulatory organization to examine advisory practices would require an act of Congress. But last year, Commissioner Daniel Gallagher floated the idea of the SEC acting on its own authority to require advisors to engage a third party, such as an accounting or auditing firm, to review their practices."
|Please click here to report this link if it is broken (for example, if you see a "404 File Not Found" error message after you click on the link above).|
|An important word about authorship: BenefitsLink® is providing a hypertext link to the item shown above, but is not the author of the item (unless otherwise specified).|