Aurora Borealis
7 August 2018 Comment Letter

CFA Institute Comment Letter on SEC Proposed Interpretation of Standard of Conduct for Investment Advisers

Request for Comment on Enhancing Investment Adviser Regulation

  1. Kurt Schacht, JD, CFA
  2. James Allen, CFA
  3. Linda Rittenhouse, JD

CFA Institute supports federal licensing and continuing education requirements for investment adviser representatives.

CFA Institute supports federal licensing and continuing education requirements for investment adviser representatives. We do not support a net capital requirement for investment advisers, instead recommending that advisers have fidelity bonds to help guard against losses to clients.
View Comment Letter
Publisher Information
CFA Institute

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