FINRA

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  SEC, FINRA Enforcement Roundup

  By Marlene Y. Satter, AdvisorOne  |  May 24, 2012

  Broker-dealer Cadaret, Grant fined; alleged $60 million Ponzi scheme busted; Morgan Stanley in hotseat.

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  Kickstarter for Wall Street? Broker-Dealers Get Into the Crowdfunding Game

  By Joyce Hanson, AdvisorOne  |  May 23, 2012

  It’s official: the money people are rallying to the crowd-funding cause.

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  BrightScope, Spaulding Group Propose Universal Performance Standard

  By Danielle Andrus, AdvisorOne  |  May 22, 2012

  BrightScope and The Spaulding Group released on Tuesday a white paper calling for an industry consensus on performance standards for financial advisors.

• Build Your Own Buzz

  By James J. Green, AdvisorOne  |  May 22, 2012

  “Why,” asked a noted advisor, “is there not more of a buzz about these regulatory changes that will affect all our lives?”

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  Morningstar Announces New Variable Annuity Comparison Tool

  By John Sullivan, Advisorone  |  May 21, 2012

  Morningstar has launched Morningstar Annuity Intelligence, a web-based product for evaluating variable annuities.

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  Top Portfolio Products: Facebook IPO Exposure Available in ETF

  By Marlene Y. Satter  |  May 21, 2012

  Franklin Square closes FSIC, readies FSIC II; Russell adds tech IPOs on reconstitution.

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  Top Portfolio Products: Facebook IPO Exposure Available in ETF

  By Marlene Y. Satter, AdvisorOne  |  May 18, 2012

  New products introduced over the last week include an ETF that will offer exposure to Facebook. In addition, Franklin Square closed FSIC to investors and prepared its successor FSIC II for its own IPO on June 1.

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  Consider Scott Simon’s Modest Proposal to ‘Solve’ the Fiduciary Issue

  By Bob Clark, AdvisorOne  |  May 16, 2012

  Why shouldn’t an ERISA standard, the Morningstar Advisor columnist asks, be imposed on both RIAs and brokers?

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  Some Questions—and Answers—on the Spencer Bachus SRO Bill

  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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  Jason Zweig Calls For Robots as Regulators

  By John Sullivan, Advisorone  |  May 11, 2012

  Jason Zweig is causing controversy—again—suggesting the ongoing SRO debate would be solved with robots (seriously).