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By David Tittsworth, IAA |
May 14, 2012
Some of the answers: FINRA is the only viable option that has been identified as an SRO and, as Mercer Bullard commented, "the bill would impose a tax on small advisory businesses...and mainstream investors they represent."
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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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By Melanie Waddell, AdvisorOne |
January 20, 2012
January 21 marks the one-year anniversary of the SEC handing over to Congress its report under Section 913 of Dodd-Frank recommending that brokers adhere to a fiduciary duty.
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By Melanie Waddell, AdvisorOne |
October 1, 2011
Lawmakers and industry officials debated the merits in mid-September of whether there should be a self-regulatory organization (SRO) for advisors, and at least one industry official says to expect SRO legislation from the House this fall.
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By Melanie Waddell, AdvisorOne |
September 13, 2011
Just days after House Financial Services Chairman Spencer Bachus, R-Ala., introduced draft legislation calling for one or more SROs for advisors, Rick Ketchum, CEO of FINRA, told lawmakers at a Tuesday hearing to discuss the draft bill that FINRA stands ready to take on that role.
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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.
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By Kathleen McBride, AdvisorOne |
May 23, 2011
‘We’re dealing with other people’s money here,’ MSRB Chairman says.
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By James J. Green, AdvisorOne |
April 15, 2011
Skip Schweiss suggests that DOL regulations on fiduciary and retirement plans will play to fiduciary advisors’ strength.
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By David Tittsworth, IAA |
November 10, 2010
In case it wasn't clear before, last week the Financial Regulatory Authority made it very clear that it's ready, willing and able to extend its jurisdiction to RIAs.
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By Janet Levaux, AdvisorOne |
June 17, 2009
FINRA and SIFMA outline their ideas for reform and share their preliminary reactions to the administration's positions.
