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Summary: At TD Ameritrade Institutional's advocacy summit, several officials raised the concern that it will only take one major scandal to force the issue of expanding advisor exams. When that happens, policymakers aren't likely to adopt any framework that the industry could support, but could instead turn examination authority over FINRA, which some view as the least desirable outcome.
 When that next Bernie Madoff pops up -- then it's going to be FINRA knocking on everyone's door, and it seems like nobody wants to see that, so something's probably better than nothing, at least in the short term."Tom Nally, president, TD Ameritrade Institutional |
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