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By Kenneth Silber |
May 24, 2012
This year’s congressional elections hold considerable potential to reshuffle power on Capitol Hill.
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By Melanie Waddell, AdvisorOne |
May 22, 2012
The House Financial Services Committee announced Wednesday that it will hold a hearing on June 6 on the redraft of Rep. Spencer Bachus’ bill calling for an SRO to oversee advisors.
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By John Sullivan, Advisorone |
May 17, 2012
Whitney was wrong, but high-profile defaults did occur, spooking markets and piquing analysts.
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By David Tittsworth, IAA |
May 14, 2012
Some of the answers: FINRA is the only viable option that has been identified as an SRO and, as Mercer Bullard commented, "the bill would impose a tax on small advisory businesses...and mainstream investors they represent."
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By Melanie Waddell, AdvisorOne |
May 10, 2012
The Boston Consulting Group released Thursday a review refuting FINRA’s cost estimates in assuming the role of an SRO for advisors, saying it underestimated costs and overestimated productivity.
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By Gil Weinreich, AdvisorOne |
May 9, 2012
Securities attorney Patrick Burns says following breakaway protocol is necessary not only to a broker's relationship with his old firm, but with his new one as well.
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By Dale Brown, Financial Services Institute |
May 9, 2012
Fragmented oversight constitutes a serious risk for the Main Street investor; the established SRO is the best way to ameliorate that risk.
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By Joyce Hanson, AdvisorOne |
May 8, 2012
Looking for the best tax states for a business start-up? The Small Business & Entrepreneurship Council releases its business tax index for 2012.
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By Marlene Y. Satter, AdvisorOne |
April 26, 2012
This week in new hires, Christine Gaze joined TD Ameritrade Institutional, Robert Bernstein went to Windham Capital and Raymond James confirmed the appointment of John Carson as president of its board.
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By Melanie Waddell, AdvisorOne |
April 25, 2012
FINRA has released an estimate of what its start-up and ongoing annual investment costs would be should it become the SRO for advisors—an estimate far below projections released by the Boston Consulting Group.
