New SRO for RIAs Supported by Fiduciary Committee
The Committee for the Fiduciary Standard will support an SRO for RIAs “if Congress fails to provide sufficient funding to the SEC to continue oversight of investment advisers,” the advocacy group said Monday in a news release.
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.
Mercer Bullard, Investor Advocate, Talks About Financial Reform
Investor advocate Mercer Bullard is concerned about the impact of financial reforms that are intended to help investors. One reform in the Senate bill, which passed on Thursday, is an extension of the fiduciary standard of conduct to broker/dealers.
WM Exclusive Interview with Mercer Bullard
Impact of fiduciary reform; fixing retirement, Goldman's duty.