Investment Adviser Assoc Exec Says FINRA Playing "Long Game" to Gain Adviser SRO InvestmentOversight

Source: InvestmentNews

Neil Simon (no, not that Neil Simon), vice president of government relations for the Investment Adviser Association, told the audience at yesterday's IAA Compliance Conference in the Washington D.C. area, FINRA is "playing the long game, [by] laying the groundwork for a future lobbying effort. It views advisers as a regulatory and revenue opportunity.”

Read full InvestmentNews report here.