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.
White Pledges to Weigh Cost of Fiduciary Rule as Ketchum Revives SRO Fight
Just as incoming Securities and Exchange Commission (SEC) Chairwoman Mary Jo White has pledged to lawmakers that she would carefully weigh the costs of a fiduciary rulemaking, Richard Ketchum, CEO of the Financial Industry Regulatory Authority (FINRA), is renewing his call for a self-regulatory organization to oversee advisors.
SRO Is Key to Boosting Advisor Exams: Former SEC Chief Pitt
The SEC “can’t handle” examining advisors, Harvey Pitt said at the Investment Adviser Association conference.
FINRA’s Broker Bonus Rule Seen as ‘Done Deal’ With SIFMA OK
Securities lawyer Patrick Burns told AdvisorOne that with SIFMA's support, the “proposal’s chances of becoming a new rule seem to be a done deal.”
NASAA to Push SEC User Fees, ‘Stay On Guard’ Against FINRA SRO
Chief among state securities regulators’ legislative agenda this year will be pushing SEC user fees, not a FINRA SRO, to better regulate advisors, NASAA President Heath Abshure said Tuesday.