1988 0726 - GOV (Senate) - Financial Planners and Investment Advisers, Chris Dodd (D-CT)

  • 1988 0726 - GOV (Senate) - Financial Planners and Investment Advisers, Chris Dodd (D-CT)  ---  [BonkNote]
    • [PDF-249p-GooglePlay, 
    • Financial Planners and Investment Advisers and What Consumers Can Expect When They Choose to Seek Professional Advice to Plan Their Financial Affairs
    • CFA - Barbara Roper, representing the Consumer Federation of America
      • Three basic problems
      • Examples of abuse
      • Prepared statement
    • John R. Driskill, executive vice president, American Society of CLU & ChFC, accompanied by Burke A. Christensen, general counsel
    • ADDITIONAL MATERIAL SUPPLIED FOR THE RECORD
      • Report of the SEC to the House Committee on Energy and Commerce, Subcommittee on Telecommunications and Finance, February 1988
      • NASAA Survey of Fraud and Abuse in the Financial Planning Industry, July 1988 
    • Senate - Committee on Banking, Housing, and Urban Affairs - Subcommittee on Consumer Affairs