SRO Bill May See July Vote; SEC Gets Glint of Hope for Extra Funds
By Melanie WaddellDespite the fact that a late June markup of Rep. Spencer Bachus SRO bill was delayed, he still intends to move the bill forward through committee, says Dan Barry of FPA.
June 12, 2012
Boomerang: Will FINRA Oversight Force RIAs to the Next Level?Mark Hurley's prediction that the RIA community will consolidate into 40 to 50 mega-firms may be effected by FINRA taking oversight of advisors. Maybe that's not a bad thing?
June 11, 2012
A Guru, a President and Pershing Execs Talk Tech and Leadership: Insite RecapA look at the highlights of the Pershing Insite 2012 conference, focusing on leadership and strategy, from Bill Clinton to Pershing CEO Brian Shea, from leadership guru Deepak Chopra to advisor guru Mark Tibergien.
June 08, 2012
Pershing Co-CIO Announces 3 Big Technology InitiativesLucille Mayer steps into Suresh Kumars shoes and touts NetX360 for end clients, next-gen managed accounts and complete business solutions.
June 07, 2012
Unhappy at Your Job, Young Advisor? Take Charge of Your FutureSteps younger advisors can take to help themand the firms where they workthink more clearly about their future.
June 07, 2012
Morgan Stanley’s Multicultural Web Portal Breaks New GroundMorgan Stanley Smith Barney's Multicultural Financial Advisors Forum helps advisors serving minority clients exchange best practices.
June 06, 2012
SEC Funding Boost ‘Not Going to Happen’: SRO Bill Co-SponsorOpponents of Rep. Spencer Bachus bill calling for a SRO to oversee advisors had their hopes that the SEC would receive a boost in funding in order to thwart an SRO quashed on Wednesday.
June 06, 2012
Are Ketchum’s Arguments for SRO the Best FINRA Can Come Up With?My response to reading the FINRA chiefs testimony before Congress on advisor SRO: Really, dude?