Boston Consulting Group

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  The Regulator of Last Resort

  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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  The Costs of FINRA Oversight of RIAs: Running the SRO Numbers

  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.

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  SEC to Get $136M Increase Under New Spending Bill for 2012

  By Melanie Waddell, AdvisorOne  |  December 16, 2011

  Bipartisan deal to avert government shutdown includes $1.3 billion in funding for the SEC in 2012, but $25 million cut from Dodd-Frank reserve fund; extension of payroll tax cut still up in the air.

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  Advisor SRO Would Cost Twice as Much as Funding SEC Exams

  By Melanie Waddell, AdvisorOne  |  December 15, 2011

  The report, conducted by BCG and funded by advisor groups and TD Ameritrade, was released before a House panel vote on a spending bill that included a $136 million increase for SEC funding.

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  In Switch, Bachus Backs More SEC Funds for Dodd-Frank

  By Melanie Waddell, AdvisorOne  |  September 15, 2011

  Increased funding for the Securities and Exchange Commission is likely on its way. Rep. Spencer Bachus, R-Ala., chairman of the House Financial Services Committee, said during a hearing on Thursday.

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  Bachus Blasts SEC as ‘Flawed,’ Pushes Restructuring Bill

  By Melanie Waddell, AdvisorOne  |  August 2, 2011

  House Financial Services Committee Chairman Spencer Bachus, R-Ala., says he is drafting legislation to restructure the Securities and Exchange Commission.

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  Employees Want Control of Retirement Assets, Expect Guidance

  By Danielle Andrus, AdvisorOne  |  April 4, 2011

  ING Retirement Research Institute released a white paper Monday outlining employees' retirement dilemma; namely that while employees want control of their assets, they're not sure about how to invest them, and turn to their employers for guidance.

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  Consider the Spin: New SEC Study Positions FINRA for Added Duties

  By Bob Clark, AdvisorOne  |  March 15, 2011

  Boston Consulting Group's study of the SEC, mandated by Dodd-Frank, suggests that the SEC rely more on SROs to fulfill its duties. Candidates, anyone?

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  SEC Is Woefully Understaffed to Fulfill Dodd-Frank, Review Reportedly Finds

  By Melanie Waddell, AdvisorOne  |  March 7, 2011

  As Congress readies to hold hearings on the SEC's budget, a preliminary review mandated by the Dodd-Frank Act has reportedly found that the SEC is woefully understaffed.

• Tailor-Made Successor

  By David DeVoe, Schwab Advisor Services, David Devoe  |  July 1, 2010

  While it may not always be easy to find an external successor, it can be done. That was the experience of Kevin Hoyle and Joe...