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By Heath Abshure, NASAA President |
January 10, 2013
NASAA will keep a close eye on Congress' attempts to delay or derail Dodd-Frank regs, another round of JOBS act-related legislation and an SRO for advisors.
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By Jack Herstein, NASAA |
June 1, 2012
Bachus’ SRO bill would impose rigid exam standards on state regulators without corresponding standards on either the SEC or SROs.
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By Jack Herstein, NASAA |
October 3, 2011
It looks like Rep. Bachus’ draft SRO bill would nationalize the regulation of small- and mid-sized advisors. NASAA believes this would be a costly mistake that will not benefit Main Street investors.