Jason Zweig Calls for Robots as Regulators
Jason Zweig is causing controversy—again—suggesting the ongoing SRO debate would be solved with robots (seriously).
Differences Between State and SEC Regulation of Investment Advisors
States may impose licensing or registration requirements on IARs doing business in their jurisdiction, even if the IAR works for an SEC-registered firm. States may investigate and prosecute fraud by any IAR in their jurisdiction, even if the individual works for an SEC-registered firm.
SROIIA Launches State Web Tool in Anticipation of ‘Switch’
The SROIIA, which was founded by two University of Mississippi School of Law students last March, announced Wednesday that it had created a web tool to help advisors wade through the registration requirements for each state.
Dodd-Frank and Advisors: Where Things Stand on an SRO for Advisors
The devil is in the details on implementing Dodd-Frank, as seen in the debate over an SRO for advisors.