03/23/2015
https://www.congress.gov...
"I would suggest overstepped into this area of regulation."
"Over the last 80 years or so, the SEC has been the primary regulator of broker dealers and investment advisors."
"Part of the challenge that I have with the fiduciary rule as we know it today is that I do believe that while we have an opportunity today to discuss the success or the failures of a representative, t..."
"It appears to me that there seems to be almost a perverse incentive for relaxed accountability as it relates to internal controls because it seems to have led, and will continue to lead, towards highe..."