SRO for U.S. financial advisers is still an option

02/19/2012 | InvestmentNews (free registration)

The Securities and Exchange Commission could be getting a budget boost to hire hundreds of examiners, but legislation placing financial advisers under the supervision of a self-regulatory organization remains a possibility. The number of registered investment advisers is increasing much faster than the ability of the SEC Office of Compliance Inspections and Examinations to oversee them, according to the agency's budget request.

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