Who’s Afraid of an SRO? Opposing Viewpoints on the Proposed Self-Regulatory Organization for Investment Advisers
1:30 PM – 2:45 PM
Thursday, October 11
Ira Hammerman, Neil Simon, John Gebauer (moderator)
Neil Simon, VP of Government Relations (IAA) and Ira Hammerman, Sr. Managing Director and General Counsel (SIFMA) with dramatically differing viewpoints, will engage in a full and frank discussion about the bill currently in Congress that would establish an SRO to take over the task of regulating most advisers. Is this a much-needed solution for an under-examined industry, or is an SRO a cure that is worse than the disease? Hear the facts and make up your own mind.
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