Regulatory Wire: Advocates for investment advisors disagree over priorities in the reform debate

Plus: a Washington outsider's view of reform; and FINRA's Ketchum on new fraud focus

Author Brian O'Connell May 28, 2010 at 4:37 AM

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NASSA can take consolation in what's likely a big win in its column after financial reform -- the shift in oversight of RIAs with up to $100 million in assets from SEC oversight to state regulation.

Knut Rostad

Investment Adviser Association

Ketchum

Committee for the Fiduciary Standard

NASSA

Mentioned in this article:

Investment Adviser Association
Asset Manager for RIAs
Top Executive: David G. Tittsworth

Regulatory Wire: Advocates for investment advisors disagree over priorities in the reform debate

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