Document Type
Article
Publication Date
1994
ISSN
1075-4512
Publisher
Prentice Hall Law and Business
Language
en-US
Abstract
Congress is seriously considering bills to establish self-regulatory organizations (SROs) for investment advisers (advisers) and investment companies (Funds). These bills would require members of the investment management industry to regulate themselves under the watchful eye of the Securities and Exchange Commission, similar in approach to the regulation of broker-dealers by the National Association of Securities Dealers, Inc. (NASD) and the securities exchanges. Proposals to establish SRO for investment advisers have arisen before. However, those proposals did not cover Funds and their advisers,
Recommended Citation
Tamar Frankel,
The Pros and Cons of a Self-Regulatory Organization for Advisers and Mutual Funds
,
in
The Investment Lawyer
2
(1994).
Available at:
https://scholarship.law.bu.edu/faculty_scholarship/3032
