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By Melanie Waddell, AdvisorOne |
April 22, 2013
FINRA announced Monday that Susan Axelrod would become executive vice president of regulatory operations, a newly created position.
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By Melanie Waddell, AdvisorOne |
November 1, 2011
As we near the end of 2011, two of the top issues for the advisory industry remain unresolved: a fiduciary mandate for brokers and a SRO for advisors.
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By Melanie Waddell, AdvisorOne |
October 5, 2011
Advisors and broker-dealer representatives descended on Capitol Hill on Wednesday to urge about 260 members of Congress to support Rep. Spencer Bachus’ draft legislation calling for one or more SROs to oversee investment advisors.