-
By John Sullivan, AdvisorOne |
May 11, 2012
Jason Zweig is causing controversy—again—suggesting the ongoing SRO debate would be solved with robots (seriously).
-
By Les Abromovitz |
January 1, 2012
States may impose licensing or registration requirements on IARs doing business in their jurisdiction, even if the IAR works for an SEC-registered firm. States may investigate and prosecute fraud by any IAR in their jurisdiction, even if the individual works for an SEC-registered firm.
-
By Melanie Waddell, AdvisorOne |
December 14, 2011
The SROIIA, which was founded by two University of Mississippi School of Law students last March, announced Wednesday that it had created a web tool to help advisors wade through the registration requirements for each state.
-
By Bob Clark, AdvisorOne |
July 20, 2011
The devil is in the details on implementing Dodd-Frank, as seen in the debate over an SRO for advisors.