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.

View Full Article in:

Reuters

Published in Brief:

SmartBrief Job Listings for Business

Job Title Company Location
Manager, Technical Staffing
U.S. Cellular
Chicago, IL
Human Resource Director
Confidential
Salt Lake City, UT
Administrative Management Specialist
Smithsonian Institute
Washington, DC
Manager, Human Resources
L'OREAL USA
Florence, KY
Generalist - Human Resources
Marriott Hotels Resorts
Brooklyn, NY