Investment advisers tell SEC they don't want FINRA oversight

11/25/2010 | Reuters

Investment advisers have told the Securities and Exchange Commission that it should not give the power to examine advisers to the Financial Industry Regulatory Authority, a private company created by brokers to regulate brokers. "There is a lack of public accountability at FINRA, a lack of transparency and a less-than-pristine track record when it comes to their responsibility over brokers," said David Tittsworth, executive director of the Investment Adviser Association.

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