James Angel

• Internal Changes at SEC’s Exam Division

  By Melanie Waddell, AdvisorOne  |  November 28, 2011

  As uncertainty remains in the debate over whether an SRO should oversee advisors—and a new option of using outside auditors for advisor exams in lieu of an SRO was recently thrown into the mix—changes are afoot within the SEC’s exam division.

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  Tom Bradley of TD Ameritrade Suggests FINRA Trial Exams for Dually Registered

  By James J. Green, AdvisorOne  |  November 10, 2011

  Head of TD Ameritrade Institutional has an ‘open mind’ on SRO, but says ‘harmonization is not the answer.’

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  Senate to Grill SEC Chiefs at Oversight Hearing

  By Melanie Waddell, AdvisorOne  |  November 10, 2011

  A Senate Banking Subcommittee plans to hold a hearing on Nov. 16 on management and structural reforms at the SEC, with Robert Khuzami and others facing off with the Senators.

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  Forget Advisor SRO; Use External Auditors for Exams, Academic Study Urges

  By Melanie Waddell, AdvisorOne  |  October 27, 2011

  A Georgetown business school professor offers another option in lieu of an SRO for advisors: outsourcing routine advisor exams to external third parties, such as accounting and consulting firms.