Jon Corzine, Bernie Madoff, And Why The SEC Should Directly Regulate Investment Advisors
Currently, investment advisors are regulated directly by the U.S. Securities & Exchange Commission.?? There is a push to have investment advisors be self-regulated and FINRA – the brokerage industry’s self-regulatory organization – is licking its chops at the prospect.?? Given FINRA’s track record, the SEC should continue to directly regulate investment advisors. Self-regulation of the …
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Tags: Amp, Bernie Madoff, Brokerage Industry, Exchange Commission, FINRA, Investment Advisors, Jon Corzine, Regulatory Organization, SEC, Securities Exchange Commission, Self Regulation
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