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Articles tagged "Maxine Waters"


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Skip Schweiss: This bill is the best path we've seen thus far.

An advisor fee bill hits Congress again, this time gaining qualified support from RIA groups

Rep. Maxine Waters' bill, which would require fees from advisors for the SEC, is unlikely to pass, but groups say it will push off FINRA efforts for now

April 22, 2013 at 5:36 AM

Pat Burns: FINRA has been in the red financially and the addition of thousands of new member firms with their membership fees would certainly be helpful to its bottom line.

FINRA is making dog whistle comments hinting its SRO ambitions still simmer

'Harmonization' comments by Richard Ketchum make all the talk of the group abandoning its RIA-oversight ambitions seem like bunk

March 18, 2013 at 5:20 AM

Skip Schweiss: I feel like democracy worked the way it is supposed to work and that should be encouraging to all advisors.

How RIA forces squashed the Bachus bill by calling the implicit FINRA bluff

Faced with the threat of more SEC exams and higher fees to pay for them, RIA leaders said in effect: Bring it on

August 2, 2012 at 3:59 PM

If only the conference commitee room were this peaceful.

Regulatory Wire: former SEC chairs slam financial services reform

Plus, DOL's new webinar on 401(k) compliance; the SEC speaks on target date funds; and questions about Stoneridge

June 18, 2010 at 5:17 AM

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