SEC oversight of investment advisers
Subtitle: hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Second Congress, second session, on the unfair practice that exists with some financial planners and the need for Congress to support the SEC through additional funding and staffing for the regulation of the financial planning industry, February 20, 1992.
Series: S. hrg. ;; 102-731
Publisher: U.S. G.P.O.; For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office
Published: 1992
Place of publication: Washington
Language: eng
Number of pages: 222
Subjects: United States. Securities and Exchange Commission -- Appropriations and expenditures; Investment advisors -- Malpractice -- United States; Financial planners -- Malpractice -- United States; Financial planning industry -- United States -- Corrupt practices
Notes: Includes bibliographical references.
Item 1035-C, 1035-D (MF)
Distributed to some depository libraries in microfiche.
Shipping list no.: 92-0614-P.