03/24/2014
https://congress.gov...
"Improving the regulation of brokers, investment advisers, and other financial professionals was a central goal of Dodd-Frank..."
"Do you believe that variable annuities require a heightened standard of care? And if so, why?"
"I applaud the SEC for recommending in their Section 913 study that broker-dealers and investment advisers should both be subject to a fiduciary duty standard..."
"I want to understand FINRA. I understand that FINRA maintains a large investment portfolio."