Currently, a significant regulatory gap exists between the resources dedicated to the examination of broker-dealers and those committed to the examination of registered investment advisers. FSI believes that enhanced investor protection will be best achieved via a transparent universal standard of care supported by effective and efficient regulatory supervision and enforcement by an industry-funded regulatory authority for investment advisors.
We believe that an SEC study of all the issues surrounding harmonization of broker-dealer and investment adviser oversight will reveal the correct path to harmonization of broker-dealers and registered investment advisers.
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David Bellaire, Esq.General Counsel & Director of Government Affairs770 980-8488e-mail David
Matthew Schwartz, Esq.Government Affairs Counsel770 980-8493e-mail Matthew