Lisa Roth

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  Independent BDs Back SIPC Over Stanford Suit

  By Marlene Y. Satter, AdvisorOne  |  February 23, 2012

  Fallout from the Allen Stanford case is still growing. In the latest clash over whether shareholders should be protected from losses á la Bernard Madoff, the National Association of Independent Broker-Dealers has sent a letter to the SEC, that says the SIPC should not have to cover those losses.

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  Independent BDs Tell SIPC to Drop Excessive Fees Levied Post Madoff

  By Melanie Waddell, AdvisorOne  |  March 23, 2011

  The National Association of Independent Broker/Dealers is warning the SIPC that if it fails to decrease the annual fees it boosted significantly on small and medium-sized BDs after the Bernie Madoff Ponzi scheme, NAIBD will take the issue to Congress.

• A New SRO's in Town

  By Kathleen McBride, AdvisorOne  |  January 1, 2007

  The move to consolidate two broker/dealer self-regulatory organizations--NASD and the NYSE--and their corresponding and sometimes conflicting sets of rules into one unified SRO has picked...