National Association of Securities Dealers

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  FINRA Up to Its Old Tricks With SRO Strategy Shift

  By Bob Clark, AdvisorOne  |  February 12, 2013

  FINRA's apparent strategic shift over an SRO for advisors to the Senate is the latest in a series of moves it's made over the decades to protect the brokerage model.

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  New SEC Chairwoman Walter Appoints Two Acting Directors

  By Melanie Waddell, AdvisorOne  |  December 17, 2012

  During her first day as the new chairman of the SEC, Elisse Walter appointed two acting directors, one to the Division of Corporation Finance and the other to Trading and Markets.

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  FINRA at 5 Years: Highlighting 7 Areas of Action

  By Melanie Waddell, AdvisorOne  |  August 9, 2012

  Quite a bit has happened in those five years: billion-dollar frauds, a flash crash exposing major volatility issues and a bill supporting FINRA as advisors' SRO, to name a few developments.

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  Going for Gold: Rep. Bachus Wins the Prize for Fuzzy Thinking on RIA SRO

  By Bob Clark, AdvisorOne  |  August 8, 2012

  Congressman Bachus’ WSJ piece on the benefits of an SRO for advisors sets what might be a world record for faulty assumptions, wrong conclusions and inaccuracies.

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  Brokers Manage Products; Investment Advisors Manage Process

  By Steve Weydert, CFP, MS  |  July 24, 2012

  The absurdity of suggesting that investment advisors and broker-dealers often provide “indistinguishable services” demonstrates a stunning depth of misunderstanding regarding the two industries.

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  Note to LIMRA: Marketing Research by Any Other Name...

  By Bob Clark, AdvisorOne  |  July 19, 2012

  Looking underneath the headlines at the findings of LIMRA's study on retirement planning by investors with and without an advisor.

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  Boomerang: Will FINRA Oversight Force RIAs to the Next Level?

  By Bob Clark, AdvisorOne  |  June 12, 2012

  Mark Hurley's prediction that the RIA community will consolidate into 40 to 50 mega-firms may be effected by FINRA taking oversight of advisors. Maybe that's not a bad thing?

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  FINRA Hires Colby as Chief Legal Officer

  By Melanie Waddell, AdvisorOne  |  May 7, 2012

  FINRA announced Monday that it has hired Robert L. D. Colby as its chief legal officer to oversee the corporate and regulatory functions of the Office of General Counsel, along with the Regulatory Policy Group.

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  FINRA Board Member Resigns After Suspension

  By Melanie Waddell, AdvisorOne  |  May 7, 2012

  FINRA Board member Joel Blumenschein has resigned as he was recently fined $30,000 and suspended by FINRA for allegedly failing to supervise one of his company’s brokers, Gary Gossett.

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  New Hire Roundup: Putnam Advances Sipple; Hewson Joins Citi Private Bank

  By Marlene Y. Satter, AdvisorOne  |  March 14, 2012

  This week in new hires, Scott Sipple moved up at Putnam Investments; Mark Hewson went to Citi Private Bank; Bradford Campbell joined Drinker Biddle; Kimberley Branch and John Forrest went to Symetra; and SNR Denton welcomed Lisa Ledbetter.