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The IAA urges FINRA to reconsider its outside activities rule proposal to exclude oversight of investment adviser activities, which are not subject to FINRA’s jurisdiction
The IAA recommended that FINRA remove quantitative thresholds in the proposed exemptions for foreign employee retirement benefits plans and foreign investment companies.
The IAA objected to FINRA’s questions on whether standards for complex products and options should apply to investment advisers because FINRA has no authority over investment advisers.
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