Trade Associations

Scheduled Congressional Testimony Strongly Tilted Toward An RIA SRO

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The House Financial Services Committee has finally announced the panelists for Wednesday's hearing on advisor regulation. The list is not friendly to those who would rather remain under SEC oversight.

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Fiduciaries In Focus With New Think Tank, Academic Advisory SRO

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Redefining the nature of fiduciary duty is on the agenda for both a new advocacy group and the academic "advisor SRO" that formed earlier this year.

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Pro-IBD Financial Services Institute Expands Its Lobbying "War Chest"

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Less than a week after signing up every single advisor in the LPL network, the Financial Services Institute keeps winning members and cash contributions to its pro-IBD cause.

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Financial Services Institute Clarifies Its Use Of "Independent Financial Advisor," Stance On RIA SRO

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A4A readers were a bit perplexed to hear about how the Financial Services Institute -- the umbrella group for independent broker-dealers -- is staking its claim in the industry. So I asked them to clarify.

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LPL Throws Its Advisors' Weight Behind The Financial Services Institute

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The independent broker-dealer group that has come out in favor of registered investment advisors moving to FINRA supervision just got a very powerful friend in the industry.

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