Dale Brown: The 2013 IA 25 Extended Profile
When reminded that this is the seventh year that he’s been named to the IA 25, Dale Brown was quick to give kudos to his entire team, noting that the Financial Services Institute’s success doesn’t hinge on his abilities alone.
Richard Ketchum: The 2013 IA 25 Extended Profile
FINRA CEO Ketchum says that the regulator continues to believe current levels of advisor oversight and exams are "unacceptable and a risk to investors."
SEC Exam Chief Di Florio Jumps to FINRA Post
In a surprising move, Carlo di Florio will leave the agency and become an executive vice president of FINRA.
New Hire Roundup: Westport Resources Promotes DeLaura
This week in new hires, Westport Resources promoted Christopher DeLaura and added Ashley Schexnaildre, and Susan Axelrod was promoted and Jonathan Sokobin was added by FINRA.
The 2013 IA 25 Special Report
With the 2013 IA 25, our 13th annual list of the most influential individuals in and around the advisor business, we decided to do something different.
Crossing Paths: The 2013 IA 25
With Investment Advisor's 11th annual list of the most influential individuals in and around the advisor business, we decided to do something different.
FPA Makes Two Big Pushes in Washington
The FPA is “well under way” in putting its advocacy infrastructure in place, FPA President Michael Branham told AdvisorOne in an interview Thursday.
FINRA Names Its First EVP of Regulatory Ops
FINRA announced Monday that Susan Axelrod would become executive vice president of regulatory operations, a newly created position.
Congress Must Fix Advisor Exams Now: SEC’s Walter
The switching of advisors from SEC to state oversight under the Dodd-Frank Act is not “the final answer” to ensuring advisors are adequately examined, SEC Commissioner Elisse Walter told state securities regulators.
FINRA’s Ketchum: Complex Products Still Need ‘Heightened Supervision’
During the SEC's National Compliance Outreach Program for Broker-Dealers, Ketchum pointed to three areas that FINRA was focusing on.