William Dwyer

  • SRO Bill May Arrive This Fall

    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.

  • Ketchum Says FINRA Ready to Be Advisor SRO

    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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