SRO

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  NAPFA: 8 Ways FINRA Oversight Will Hurt Indie Advisors

  By Joyce Hanson, AdvisorOne  |  June 5, 2012

  NAPFA has sounded the alarm against House Financial Services Chairman Spencer Bachus’ bill calling for a SRO to oversee advisors.

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  SEC Exam Chief to AdvisorOne: SRO Option Still Viable

  By Melanie Waddell, AdvisorOne  |  January 31, 2012

  Carlo di Florio, director of the SEC's Office of Compliance Inspections and Examinations, told AdvisorOne on Tuesday that the recent boost in funding that the SEC received from Congress is not enough to thwart the need for an advisor SRO.

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  Revised SRO Bill by Bachus Out ‘Very Soon,’ Says IAA’s Tittsworth

  By Melanie Waddell, AdvisorOne  |  November 9, 2011

  A new draft of Rep. Spencer Bachus’ bill calling for an SRO for advisors is expected to be out 'very soon,' David Tittsworth, executive director of the Investment Adviser Association told AdvisorOne Wednesday.

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  Draft Bill Calling for SRO for Advisors Introduced in House

  By Melanie Waddell, AdvisorOne  |  September 8, 2011

  The House Financial Services Committee on Thursday released a draft bill that would establish one or more self-regulatory organizations (SRO) to oversee investment advisors.

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  Dodd-Frank and Advisors: Where Things Stand on an SRO for Advisors

  By Bob Clark, AdvisorOne  |  July 20, 2011

  The devil is in the details on implementing Dodd-Frank, as seen in the debate over an SRO for advisors.