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RJ & Makay

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

advisory firms

Advisory firms would pay much higher fees under FINRA: Boston Consulting Group

Posted by RJ and Makay on Dec 16, 2011

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Examinations Financial advisory firms would pay more than twice as much in fees if overseen by FINRA, as compared to fees paid to the Securities and Exchange Commission (SEC), according to a Boston Consulting Group (BCG) report. The report found that it would cost between $6 million and $8 million to prepare for additional SEC exams, and the annual cost would be between $240 million and $270 million.