House Plans Hearing on SRO for Advisors for Sept. 13; Federal Reserve Still Paying Big Banks Not to Lend

Kristen French Registered Rep. 8/30/2011

The House of Representatives Financial Services Committee’s capital markets subcommittee plans to hold a hearing on Sept. 13 on the regulation of broker/dealers and investment advisers.

The subcommittee is expected to review who should be responsible for examining investment advisers. It may also review whether a fiduciary standard should be […]