Board of Governors

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  FINRA Goes for Round Two on Membership Rule Changes

  By Melanie Waddell, AdvisorOne  |  February 21, 2013

  FINRA plans to issue a revised proposal on membership requirements after the self-regulator received pushback from the industry during its first attempt.

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  MSSB Loses $600 Million Lerner Group to HighTower

  By Joyce Hanson, AdvisorOne  |  July 16, 2012

  This is the seventh new advisor team in 2012 to join the Chicago-based financial services firm run by CEO Elliot Weissbluth.

• ICI Forms Global Group; Releases Retirement Study

  By Janet Levaux, AdvisorOne  |  November 23, 2011

  The Investment Company Institute’s Board of Governors recently determined that the organization should significantly broaden its international engagement and launched ICI Global to fulfill that role. The board also established a new class of institute members, consisting of regulated funds publicly offered to investors in leading jurisdictions worldwide.

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  SEC Names Legg Mason Exec the New Associate Director of Advisor Exams

  By Melanie Waddell, AdvisorOne  |  October 21, 2011

  The SEC announced on Friday that Andrew J. Bowden has been appointed an associate director to lead the National Investment Adviser/Investment Company Examination Program in the SEC’s Office of Compliance Inspections and Examinations.

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  New Hire Roundup: BofA's Krawcheck Elected as FINRA Board Member

  By Marlene Y. Satter, AdvisorOne  |  August 4, 2011

  Sallie Krawcheck, president of Global Wealth & Investment Management for Bank of America, was elected as large-firm governor for FINRA, while Jack Brennan of Vanguard was elected as FINRA's lead governor.