Harmonizing Advisor, BD Rules Back Burner Issue for SEC: fi360's Thompson Says
Harmonization of advisor and broker rules is an issue that’s “lower on the totem pole” for the SEC now, Duane Thompson, senior policy analyst with fi360, said on Thursday. However, there are clearly areas where harmonization needs to occur.
Why Advisors Still Aren’t Professionals
You are important enough to be regulated, and the interconnectedness of the world financial system requires that you be regulated to protect consumers and that system.
At FPA Denver, Attempting to Corral Implementation of Dodd-Frank
Both sides of the regulatory equation were on display during a Sunday morning session at FPA Denver 2010.
Sticking Up for Senior Investors
As the market turmoil rages on, one group of clients--seniors--don't have the luxury of being able to take some hits to their portfolios now with...