Lockheed to Pay $62 Million to End Worker Pension Lawsuit
Employees and retirees say the defense firm charged them “unreasonable and excessive” fees on retirement plans.
20 Best Big Cities for Successful Aging
Far from a list of Florida cities with cheap eats, the Milken Institute rankings tally 78 variables on metropolitan regions, with surprising results.
Senate Changes to JOBS Act Shot Down, Faces More Debate
The Senate took up debate on the House version of the JOBS act once again Wednesday after an abortive attempt on Tuesday to strengthen consumer protections by amendment failed.
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.
If You Want Something Done Right
It’s beginning to look like the only way Dodd-Frank reregulation is going to turn out well is if RIAs form their own SRO, such as Mercer Bullard's SROIIA.
Mercer Bullard Asks at fi360: Who Will Regulate Investment Advisors?
The question burns brightly at the 2011 conference in San Antonio: Will it be the SEC, a new SRO, FINRA? Stay tuned.
FINRA Alternative: SROIIA Surveying RIA Firms
Fledgling SRO for RIAs adds officers, announces progress.
Putting the ‘Self’ Into Advisor Self-Regulation
It's a sorry state of affairs when a fledgling group out of the University of Mississippi is the last, best hope of an advisor SRO
New SRO for RIAs Supported by Fiduciary Committee
The Committee for the Fiduciary Standard will support an SRO for RIAs “if Congress fails to provide sufficient funding to the SEC to continue oversight of investment advisers,” the advocacy group said Monday in a news release.
FINRA Alternative: New SRO With ‘Bona Fide’ Fiduciary Standard for RIAs
The Business Law Society, a group of law students at the University of Mississippi, under the guidance of Mercer Bullard, associate professor of law and a member of the SEC’s Investment Advisory Committee, proposed an alternative SRO for RIAs.