Self-Regulatory Organization for Independent Investment Advisers

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  Jason Zweig Calls for Robots as Regulators

  By John Sullivan, AdvisorOne  |  May 11, 2012

  Jason Zweig is causing controversy—again—suggesting the ongoing SRO debate would be solved with robots (seriously).

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  Differences Between State and SEC Regulation of Investment Advisors

  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.

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  SROIIA Launches State Web Tool in Anticipation of ‘Switch’

  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.

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  Dodd-Frank and Advisors: Where Things Stand on an SRO for Advisors

  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.