SEC official says rules for dealers, advisers need to be aligned

01/15/2009 | Reuters

Kathleen Casey, a member of the Securities and Exchange Commission, said that rules for broker-dealers and investment advisers should be "harmonized." Casey also said she supported either merging or rationalizing the roles of the Commodity Futures Trading Commission and the SEC. "I do believe that a merger or rationalization of the SEC and CFTC missions would be valuable, an important reform," she said.

View Full Article in:


Published in Brief: