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RJ & Makay

Our view of news, events and human capital trends in the financial services industry.
Tags >> Enron

Former congressman Oxley now lobbies for FINRA

Posted by RJ and Makay on Mar 22, 2011
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Former congressman now lobbies for FINRAMichael Oxley, the former Republican congressman from Ohio best known for co-authoring the Sarbanes-Oxley Act of 2002, has registered as a lobbyist for the Financial Industry Regulatory Authority (FINRA). His goal, as stated on his registration form: to work on the “harmonization of regulation of broker-dealers and investment advisors.”

Translation: to promote a self-regulatory organization (SRO) for investment advisors.