Aurora Borealis
12 November 2020 Comment Letter

CFA Institute Opposes SEC Proposal to Exempt Finders from Broker Rules

  1. James Allen, CFA
  2. Stephen Deane, CFA

CFA Institute opposes an SEC proposal to exempt finders from broker rules. In its comment letter to the SEC, CFA Institute argues that the proposal would weaken investor protections and market transparency.

View Comment Letter

We’re using cookies, but you can turn them off in Privacy Settings.  Otherwise, you are agreeing to our use of cookies.  Accepting cookies does not mean that we are collecting personal data. Learn more in our Privacy Policy.