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By David Tittsworth, IAA |
July 6, 2012
If you’re not in favor of having FINRA become the SRO for RIAs, join the advisor grass-roots effort to advocate with Congress against Bachus bill.
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By Melanie Waddell, AdvisorOne |
April 20, 2011
Michael Oxley should be on every advisor's radar, as the former Republican congressman is now lobbying to ensure FINRA becomes the SRO for advisors.
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By Staff Writer |
May 1, 2007
The IA 25 marks its fifth anniversary in 2007, and each year it gets harder to limit the number of influential people to just 25....
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By Melanie Waddell, AdvisorOne |
May 1, 2006
Are you up to speed on Sarbanes-Oxley? That's the law Congress put in place after Wall Street was rocked by the corporate scandals at Enron...
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By Staff Writer |
November 24, 2003
WASHINGTON (HedgeWorld.com)--Both houses of Congress are considering legislation to halt abuses in the mutual fund industry, and despite some consensus passage may snag on the...
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By Editorial Staff |
May 1, 2003
Listing the most influential people within any profession is a daunting task, but the job is particularly difficult within financial planning, where fierce independence is...
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By Staff Writer |
August 5, 2002
WASHINGTON (HedgeWorld.com)--Both houses of Congress overwhelmingly passed an act to change the way financial accounting and auditing work in the United States. The House acted first,...
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By Staff Writer |
July 22, 2002
WASHINGTON (HedgeWorld.com)--Amid the complicated parliamentary maneuvering on the Senate floor Monday, preparatory to the unanimous passage of a bill sponsored by Senator Paul Sarbanes (D-Md.)...