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By Joyce Hanson, AdvisorOne |
May 8, 2012
On opening day of the 2012 NAPFA annual conference in Chicago, outgoing chairwoman Susan John named Ron Rhoades to succeed her as head of the fee-only planners group.
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By Melanie Waddell, AdvisorOne |
April 12, 2012
Rep. Bachus' revised bill comes despite economic analysis saying SRO would cost twice as much as funding the SEC.
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By Melanie Waddell, AdvisorOne |
March 9, 2012
Top lobbyist for Investment Adviser Association said Rep. Spencer Bachus will release this year revised legislation calling for a self-regulatory organization for advisors, though action may wait until new Congress in 2013.
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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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By Thomas D. Giachetti |
August 1, 2006
With the advent of SEC Rule 206(4) 7, which requires SEC-registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory...
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By Staff Writer |
June 1, 2005
On April 14, the Securities & Exchange Commission agreed to pay $102,969 in attorney's fees incurred by one Charles D. Elliot III in fighting an...
