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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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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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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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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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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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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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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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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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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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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.