retail investment advisers

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  In FSI Testimony Before Congress on SRO, a Call for a Level Regulatory Field

  By Dale Brown, Financial Services Institute  |  June 6, 2012

  In voicing support for HR 4624, FSI believes an advisor SRO will close an unacceptable regulatory gap that leaves investors exposed to potential fraud and abuse at the hands of unscrupulous investment advisors.

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  Bachus, McCarthy Introduce SRO Redraft

  By Melanie Waddell, AdvisorOne  |  April 25, 2012

  House Financial Services Chairman Spencer Bachus reintroduced on Wednesday his draft bill calling for an SRO for advisors—one week after industry sources told AdvisorOne that an SRO bill was imminent.

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  How to Make Your Voice Heard With Regulators in Your Own Backyard

  By Dale Brown, Financial Services Institute  |  April 24, 2012

  A good way to engage regulators and make a difference is by participating in FINRA District Committees, as FSI member Wilson WIlliams is doing.

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  Advisor SRO Would Cost Twice as Much as Funding SEC Exams

  By Melanie Waddell, AdvisorOne  |  December 15, 2011

  The report, conducted by BCG and funded by advisor groups and TD Ameritrade, was released before a House panel vote on a spending bill that included a $136 million increase for SEC funding.

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  Draft Bill Calling for SRO for Advisors Introduced in House

  By Melanie Waddell, AdvisorOne  |  September 8, 2011

  The House Financial Services Committee on Thursday released a draft bill that would establish one or more self-regulatory organizations (SRO) to oversee investment advisors.