John Taft on Broker-Dealers and Investment Advisers

Testimony of John Taft, SIFMA Chairman, and Head of U.S. Wealth Management, RBC Wealth Management before the U.S. House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises hearing, The Regulation and Oversight of Broker-Dealers and Investment Advisers.

See Also:

• Comment Letter to the SEC: Proposed Framework for Rulemaking Under Section 913 (Fiduciary Duty) of the Dodd-Frank Act (July 14, 2011)
• Comment Letter to the U.S. House Education and the Workforce Subcommittee on Health, Employment, Labor and Pensions: DOL’s Proposal to Redefine Fiduciary (September 6, 2011)
• SIFMA & Oliver Wyman Study: Standard of Care Harmonization, Impact Assessment for the SEC (November 1, 2010)