Articles tagged "FINRA"
Headline
Publish date
5 Reasons why the hybrid RIA model may be a bigger deal than ever
Someday all advisors could be hybrid-like under FINRA
January 14, 2010 at 6:39 AM
'Unthinkable' progress was made on creating a new regulatory world for advisors in 2009
Change is in the air but upcoming Senate elections complicate prospects for 2010
December 17, 2009 at 3:23 PM
Blogging: The costs and risks of hoarding your thoughts are rising
It's a new way for financial advisors to stay relevant with clients
December 16, 2009 at 4:10 AM
Advertising practices that can raise the hackles of regulators
Photos, staff plaudits and hypotheticals are still testimonials by any other name
November 19, 2009 at 4:05 PM
Martin Kurtz, president of Financial Planning Association for 2011, will take pragmatic approach
Electee has concerns about FINRA's historical 'suitability' mindset
November 13, 2009 at 10:52 PM
What's going wrong for RIAs on Capitol Hill?
RIAs brace themselves as Senate committee takes up financial reform
November 11, 2009 at 5:05 AM
Worst of both worlds looms for RIAs in Washington
Act would gut the authority of SEC over RIAs while doubling its budget
November 4, 2009 at 11:49 PM
The big change RIAs should expect when the SEC punts to the states
Advisors under states see more audits, tougher registration requirements and busybody lawmakers
November 4, 2009 at 4:34 AM
Eight things necessary to keep RIAs from answering to SIFMA
Multiple strategies needed to counter deficit in numbers
October 15, 2009 at 5:47 AM
Feds happily punt to states on advisor oversight
Move would take 33% of RIAs off of SEC's plate
October 6, 2009 at 9:55 PM
Showdown set over whether RIAs stay under regulatory authority of the SEC [Updated!]
SIFMA and FINRA may play for regulatory control
