Articles tagged "SRO"
Headline
Publish date
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
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
(Updated) SEC presses case for user fees in much-anticipated report to Congress
While giving downsides for the idea of an SRO to govern advisors, the SEC opens the door for Congress to consider all options
January 20, 2011 at 2:36 PM
Schwab takes high-profile stand opposing self-regulatory organization for advisors
Largest custodian opposes FINRA on heavily lobbied issue
