The Regulator of Last Resort
Looks like the Financial Planning Coalition and the Investment Adviser Association have gotten attention sponsoring the Boston Consulting Group’s report, “Investment Adviser Oversight: Economic Analysis of Options.”
The Bachus Draft and the Move Toward Private Regulation of Advisors
After testifying before the House subcommittee on the draft legislation, our intrepid blogger explores and explains what it means for advisors.
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.