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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.

  • A Process, Not a Destination

    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...

  • You Can Fight the SEC

    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...

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