• Governmental and self-regulation of the securities industry - Financial Advisors, Investment Counselors, and the Financial I...
  Governmental and self-regulation of the securities industry - Financial Advisors, Investment Counselors, and the Financial Industry > Regulation of Financial Advisors and Investment Advisers - Financial Articles, Regarding regulation of financial planners and investment advisors, the picture can sometimes be confusing. While various state and federal government entities can enforce laws, these agencies usually are not be involved in the direct management and regulation of market brokers and other financial or investment advisors.
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