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By Kathleen McBride, AdvisorOne |
April 18, 2011
The Committee for the Fiduciary Standard will support an SRO for RIAs “if Congress fails to provide sufficient funding to the SEC to continue oversight of investment advisers,” the advocacy group said Monday in a news release.
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By Kathleen McBride, AdvisorOne |
March 9, 2011
The Business Law Society, a group of law students at the University of Mississippi, under the guidance of Mercer Bullard, associate professor of law and a member of the SEC’s Investment Advisory Committee, proposed an alternative SRO for RIAs.
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By Kathleen McBride, AdvisorOne |
May 21, 2010
Investor advocate Mercer Bullard is concerned about the impact of financial reforms that are intended to help investors. One reform in the Senate bill, which passed on Thursday, is an extension of the fiduciary standard of conduct to broker/dealers.
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By Kathleen McBride, AdvisorOne |
May 20, 2010
Impact of fiduciary reform; fixing retirement, Goldman's duty.
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By Staff Writer |
May 1, 2007
In case you missed it, a study released last year by the Zero Alpha Group and Fund Democracy found that investors who buy index mutual...
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By Melanie Waddell, AdvisorOne |
June 1, 2005
No single commercial or governmental agency has as big an influence on financial planners and investment advisors as the Securities and Exchange Commission. Moreover, within...
