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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 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 John Sullivan, Advisorone |
May 10, 2012
A person could be forgiven for not immediately connecting Ladenburg Thalmann to the independent space; the firm’s sea change in strategy occurred only a few years ago, after all.
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By Danielle Andrus, AdvisorOne |
May 7, 2012
Jon Henschen, president of Henschen & Associates, a broker-dealer recruiting firm, likens the torrent of regulatory changes the industry has seen recently to “having a cut on your finger, and they’re cutting your arm off to repair it.”
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By Danielle Andrus, AdvisorOne |
April 30, 2012
Dale Brown, president and CEO of the Financial Services Institute, is a perennial member of the IA 25.
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By Kathleen M. McBride, FiduciaryPath |
April 26, 2012
Both brokers and advisors in our second annual AdvisorOne-fi360 Fiduciary Survey agree on much, but the findings suggest a disconnect between registered reps and their leaders.
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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 Dale Brown, Financial Services Institute |
April 24, 2012
A good way to engage regulators and make a difference is by participating in FINRA District Committees, as FSI member Wilson WIlliams is doing.
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By Editorial Staff |
April 24, 2012
Some people ride a wave and some people, like the honorees of the 10th annual IA 25, create a wave.
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By Editorial Staff |
April 24, 2012
Throughout the rest of April and May, we’ll be publishing extended versions of each profile, including exclusive interviews, on AdvisorOne.
