Draft Bill Calling for SRO for Advisors Introduced in House
The House Financial Services Committee on Thursday released a draft bill that would establish one or more self-regulatory organizations (SRO) to oversee investment advisors.
Blaine Aikin, fi360: The Extended 2011 IA 25 Profile
Blaine Aikin is so steeped in the fiduciary issue that IA columnist Bob Clark believes Aikin is one of a handful of people responsible for bringing it to the forefront.
Michael Montgomery Wins fi360 Fiduciary Article Competition
Multiple employer retirement plans are gaining a larger following as they help plan sponsors manage their fiduciary risk.
Follow the Leaders: The 2011 IA 25
In the nine years that Investment Advisor has published the IA 25, our editors’ judgment as to the 25 most influential people in and around the advisor community, we’ve never ranked the 25 in the order of their importance.
FINRA Alternative: New SRO With ‘Bona Fide’ Fiduciary Standard for RIAs
The Business Law Society, a group of law students at the University of Mississippi, under the guidance of Mercer Bullard, associate professor of law and a member of the SEC’s Investment Advisory Committee, proposed an alternative SRO for RIAs.
Fiduciary Practices Front and Center at fi360 Conference
Discussion at fi360 centers on fiduciary movement and possible extension of fiduciary standard in the 1940 Act
At fi360 Meeting, Blaine Aikin Thanks SEC for Goldman Suit
Discussion at fi360 centers on fiduciary movement; will the '40 Act fiduciary standard be extended by Congress?
Clark at Large: These Guys Are Good
Did you ever get the haunting feeling that something was going too well? That's how I'm starting to feel about the reregulation of the advisory...
Fiduciary to the Forefront
A committee calling for an authentic standard throws down the gauntlet
Investment experts: Enact a fiduciary standard now
Investment industry experts John Bogle and Blaine Aikin called on Congress Friday to enact a fiduciary standard for all those providing investment advice and/or managing...