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.
Read full InvestmentNews report here.