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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 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 Melanie Waddell |
April 24, 2012
In a bid to push the deadlocked fiduciary rulemaking process forward, advisory and consumer trade groups that support broadening the fiduciary role for all advice givers made an unusual move in late March.
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By Timothy Welsh |
April 24, 2012
For many advisors, the question isn’t necessarily how to spend money on software, hardware and systems.
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By Melanie Waddell, AdvisorOne |
April 12, 2012
Rep. Bachus' revised bill comes despite economic analysis saying SRO would cost twice as much as funding the SEC.
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By Melanie Waddell, AdvisorOne |
March 30, 2012
Seven leading consumer and industry groups supporting a uniform fiduciary duty provided the SEC on Thursday with a “roadmap” for resolving the debate about how to create that rule.
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By Bob Clark, AdvisorOne |
March 20, 2012
A look at the number of enforcement actions against each group provides a ready answer: part two of a series on the Bizarro World inside the beltway
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By Melanie Waddell, AdvisorOne |
March 15, 2012
Carlo di Florio, director of OCIE, told CCOs that the SEC has hired 130 new examiners over the last 18 months and that the agency is focusing on three 'priority' areas when it comes to advisory firms.
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By Melanie Waddell, AdvisorOne |
March 9, 2012
Top lobbyist for Investment Adviser Association said Rep. Spencer Bachus will release this year revised legislation calling for a self-regulatory organization for advisors, though action may wait until new Congress in 2013.
