2013: The Road Ahead
NASAA will keep a close eye on Congress' attempts to delay or derail Dodd-Frank regs, another round of JOBS act-related legislation and an SRO for advisors.
Why Bachus’ SRO Bill Misses the Target
Bachus’ SRO bill would impose rigid exam standards on state regulators without corresponding standards on either the SEC or SROs.
As NASAA’s New President, My Top Priorities: SRO and ‘The Switch’
It looks like Rep. Bachus’ draft SRO bill would nationalize the regulation of small- and mid-sized advisors. NASAA believes this would be a costly mistake that will not benefit Main Street investors.