Trade Associations
Scheduled Congressional Testimony Strongly Tilted Toward An RIA SRO
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.
Fiduciaries In Focus With New Think Tank, Academic Advisory SRO
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.
Pro-IBD Financial Services Institute Expands Its Lobbying "War Chest"
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.
Financial Services Institute Clarifies Its Use Of "Independent Financial Advisor," Stance On RIA SRO
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.
LPL Throws Its Advisors' Weight Behind The Financial Services Institute
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.
