Articles tagged "FINRA"
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Amazed and confused: Advisors struggle to make sense of Bachus' Wall Street Journal Op-Ed salvo
House panel chief dives back into the oversight fray, but confusion persists over timing, intentions
August 7, 2012 at 3:22 AM
What happened when two advisors traveled to D.C. to be heard
Neal Hokanson and Chris Cannon, separately but with the same mission, felt like they created 'aha' moments for presumed FINRA advocates
June 21, 2012 at 4:15 AM
TD Ameritrade's 2012 Elite Advisor Summit gathers $89 billion of RIA assets under one Laguna Beach umbrella
Fresh off a week of D.C. intensity, the annual event crackled with strong opinions and offensive strategies
June 15, 2012 at 2:45 AM
In a pivot, Dale Brown tells Committee that 'SRO' is a 'misnomer'
FINRA is not self-regulating after all because its governing board is mostly made up of non-industry public members
June 6, 2012 at 6:06 PM
Brian Hamburger hammers the FINRA SRO proposal in a letter
In his muscular style as a lawyer and insider in the regulatory realm, the MarketCounsel principal pulls no punches
June 5, 2012 at 10:53 PM
Barbara Roper sends stern letter to Rep. Bachus raising new FINRA-as-SRO issues
Consumer Federation of America: Smaller firms would bear the brunt of costs and broker/advisor confusion may only increase under the contemplated bill
June 4, 2012 at 8:28 PM
Non-partisan watchdog group writes a scathing letter about FINRA
POGO, which uncovered the Pentagon's famed $7,500 coffee maker, says the would-be SRO is basically rife with conflicts of interest
May 31, 2012 at 5:32 AM
An in-depth analysis of FINRA's attempted takeover of RIAs and why the group should be disbanded, Part 2
FINRA's aim is to stamp out small RIAs that compete with its large Wall Street firms. Don't let it happen, pleads NAPFA's new chairman
May 31, 2012 at 5:24 AM
New FSI chairman isn't sugarcoating FINRA's shortcomings but blasts the SEC on porn and Blackberries in this letter
Joe Russo says that 25% of his group's own membership doesn't favor extending FINRA's dominion to RIAs
May 30, 2012 at 5:18 AM
Why FINRA's power grab for RIAs needs to be stopped to avert the death of the profession, Part 1
Looking back from the year 2025, the author recounts how FINRA seized regulatory control and crushed the life out the once-thriving RIA channel
May 30, 2012 at 4:37 AM
Duane Thompson says Bachus bill will croak in Congress but others see danger aplenty
The FPA veteran who spearheaded the killing of the 'Merrill Lynch Rule' outlines his vision of compromise on the SRO issue
May 29, 2012 at 3:46 PM
NAPFA's appointment of a new chairman could be a big deal for RIAs
Ron Rhoades spent the last year in obscurity but now he's "ready to take the gloves off"
May 23, 2012 at 3:03 AM
FINRA comes up with cost projections for its SRO and the CFP Board blasts them
FINRA is still angry that Boston Consulting Group did not consult them and says they created numbers "out of thin air"
May 14, 2012 at 3:59 AM
A big California RIA fires off a letter to Rep. Bachus decrying FINRA as SRO pick
Neil Hokanson offers a boots-on-the-ground perspective about why changes brewing in Washington are bad for consumers and advisors alike
May 2, 2012 at 2:20 PM
Avoiding FINRA oversight may depend on talking sense to an options-trading House Republican
Spencer Bachus, known to expertly trade options for his own account, seems to be down with what transactions-based advisors like
