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By Melanie Waddell, AdvisorOne |
March 5, 2013
Chief among state securities regulators’ legislative agenda this year will be pushing SEC user fees, not a FINRA SRO, to better regulate advisors, NASAA President Heath Abshure said Tuesday.
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By Melanie Waddell, AdvisorOne |
February 7, 2013
With the House unlikely to pursue an SRO bill this year, FINRA has set its sights on the Senate to push a bill that would give FINRA the authority to become the SRO for advisors.
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By Bob Clark, AdvisorOne |
December 21, 2012
Taking time out over the holidays to reflect on the past year has become one of my favorite exercises.