It’s Not Too Late to Make Your Voice Heard on SRO Bill
If you’re not in favor of having FINRA become the SRO for RIAs, join the advisor grass-roots effort to advocate with Congress against Bachus bill.
Michael Oxley Describes New Role as FINRA Lobbyist: Exclusive Interview
Michael Oxley should be on every advisor's radar, as the former Republican congressman is now lobbying to ensure FINRA becomes the SRO for advisors.
Five Years of Excellence
The IA 25 marks its fifth anniversary in 2007, and each year it gets harder to limit the number of influential people to just 25....
SOX and You
Are you up to speed on Sarbanes-Oxley? That's the law Congress put in place after Wall Street was rocked by the corporate scandals at Enron...
Baker/Oxley Bill Would Sever Management of Hedge F
WASHINGTON (HedgeWorld.com)--Both houses of Congress are considering legislation to halt abuses in the mutual fund industry, and despite some consensus passage may snag on the...
The First Annual IA 25: 2003
Listing the most influential people within any profession is a daunting task, but the job is particularly difficult within financial planning, where fierce independence is...
Sweeping Reform of Accounting, Auditing Awaits Sig
WASHINGTON (HedgeWorld.com)--Both houses of Congress overwhelmingly passed an act to change the way financial accounting and auditing work in the United States. The House acted first,...
Stock Options Reform Kept Off the Senate Corp-Gove
WASHINGTON (HedgeWorld.com)--Amid the complicated parliamentary maneuvering on the Senate floor Monday, preparatory to the unanimous passage of a bill sponsored by Senator Paul Sarbanes (D-Md.)...