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.
MSRB, FINRA, SEC Work Together on Dodd-Frank Rules and Enforcement
‘We’re dealing with other people’s money here,’ MSRB Chairman says.
TD’s Schweiss on Overlooked Golden Opportunity for Advisors: Weekend Interview
Skip Schweiss suggests that DOL regulations on fiduciary and retirement plans will play to fiduciary advisors’ strength.
The Illogic of FINRA’s Bid to Oversee Advisors
In case it wasn't clear before, last week the Financial Regulatory Authority made it very clear that it's ready, willing and able to extend its jurisdiction to RIAs.
Industry Groups Respond to Obama Financial-Reform Proposals
FINRA and SIFMA outline their ideas for reform and share their preliminary reactions to the administration's positions.