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)

• 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