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    06.16.11 Professor Roberta Karmel Discusses Investment Adviser SRO in the New York Law Journal
    Roberta Karmel

    In her New York Law Journal column "Securities Regulation," Professor Roberta Karmel discusses whether investment advisers might find incentives in forming an self-regulatory organizations (SRO). She argues that the securities industry should "stop resisting an SRO for investment advisers and either create a new free-standing SRO, or agree that the Financial Industry Regulatory Authority (FINRA) or a new organized FINRA subsidiary be designated as such an SRO."

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BLS LawNotes Fall 2014

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