RIA SRO

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  Good News, Bad News: Findings of the Financial Planning Coalition Survey

  By Bob Clark, AdvisorOne  |  March 27, 2013

  The findings of the Coalition survey of investors suggest some troubling undercurrents that the profession and the media should address.

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  The Regulator of Last Resort

  By Bob Clark, AdvisorOne  |  February 1, 2012

  Looks like the Financial Planning Coalition and the Investment Adviser Association have gotten attention sponsoring the Boston Consulting Group’s report, “Investment Adviser Oversight: Economic Analysis of Options.”

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  Fiduciary Standard Loses 3 Battles, but War’s Not Over Yet

  By Bob Clark, AdvisorOne  |  September 20, 2011

  Perhaps the worst setback: DOL to reconsider its fiduciary rule for retirement plans.

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  Mercer Bullard Asks at fi360: Who Will Regulate Investment Advisors?

  By Kathleen McBride, AdvisorOne  |  May 6, 2011

  The question burns brightly at the 2011 conference in San Antonio: Will it be the SEC, a new SRO, FINRA? Stay tuned.