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By Melanie Waddell, AdvisorOne |
May 22, 2012
House Financial Services Chairman Spencer Bachus reintroduced in late April his draft bill calling for a self-regulatory organization (SRO) for advisors.
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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 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 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.
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By Melanie Waddell, AdvisorOne |
April 25, 2012
House Financial Services Chairman Spencer Bachus reintroduced on Wednesday his draft bill calling for an SRO for advisors—one week after industry sources told AdvisorOne that an SRO bill was imminent.
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By Joyce Hanson, AdvisorOne |
April 24, 2012
“The relationship with the advisor as opposed to the product provider has become much more important to investors,” said Boston Consulting Group's Gary Shub during his MFEA talk.
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By John Sullivan, Advisorone |
February 2, 2012
TD Ameritrade Institutional President Tom Bradley opened the clearing and custodial firm’s annual conference Thursday morning in Orlando with a wide ranging discussion of current hot topics.
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By Bob Clark, AdvisorOne |
February 1, 2012
Looks like the Financial Planning Coalition and the Investment Adviser Association have gotten attention sponsoring the Boston Consulting Group’s report, “Investment Adviser Oversight: Economic Analysis of Options.”
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By David Tittsworth, IAA |
January 9, 2012
At last, credible information on the costs of having an SRO—or not—to oversee advisors, and what each scenario would cost RIAs in dollars and cents.
