SRO

Bachus-McCarthy Bill Exempts Those With Wealthier Clients, Leaving Small Firms To Bear The Bulk Of The Burden
Bill To Make FINRA The SRO For RIAs Reintroduced, Sparking Protest In Some Quarters And Approval In Others
CFP Board Hires New Lobbyist Who Formerly Served As Senior Counsel To House Financial Services Committee
Enemies Of The RIA SRO Turn To The Senate
FINRA As SRO Battle Heats Up As Industry Participants Form Lobbying Group
FINRA Reprimands A Member Of Its Own Board
FINRA Requests Comment On Ways To Increase Investor Use Of BrokerCheck: My Suggestion Is To Consolidate Advisor Licensing Databases And Open It To Search Engines
Get Ready For Congressional SRO Hearings In Two Weeks
NAIFA Backs FINRA Examination Of SEC-Registered Investment Advisers
No Progress? 2011 Ends With The Same Regulatory Questions Advisors Were Facing 12 Months Ago
Now That Barney Frank Is Leaving, He Comes Out Against An Advisor SRO
Pro-SRO Broker-Dealer Group Raises Member Dues To Lobby More Aggressively
RIA Groups Release Study Saying FINRA Oversight Would Cost Twice As Much As Enhancing The SEC's Exam Program Of RIAs
RIAs Don’t Seem To Care Very Much About The Regulatory Debate; Reaction To Last Week’s FINRA-SRO News Was Muted
Sizing Up The Powerful Forces Aligned To Fight Making FINRA The SRO For RIAs
Underscoring Why The Financial Planning Coalition Is Headed In the Wrong Direction, 1,100 Advisors Attended AICPA’s Financial Planning Conference