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Sheryl Garrett:  “Given the funding issues currently facing the SEC, it may not get the resources to continue to regulate registered investment advisers. In that event, the Committee supports an alternative self-regulatory organization (SRO)."

Influential fiduciaries endorse bootstrapping advisory-industry SRO

Maria Elena Lagomasino and Harold Evensky among those giving nod to Mississippi law students

April 18, 2011 at 1:39 PM

Troy Paredes: The SEC commissioner also spoke, advocating for a regulatory regime that's easier on small firms ‘We should reject a one-size-fits all regulatory regime,” he said.

Eavesdropping on the IAA: JP Morgan exec challenges advisors on FINRA

SRO remains overarching concern; many advisors haven't finished their ADVs; anxiety rises about 'the switch'

March 11, 2011 at 3:26 PM

Mercer Bullard: "If the CFP Board, the Financial Planning Association or the Investment Adviser Association finally get their act together, they might want to get involved."

Mississippi lawyer Mercer Bullard volunteers to form an RIA SRO and nobody's laughing it off

IAA won't join forces; annual cost to run an SRO could top $150 million

March 10, 2011 at 5:37 AM

Zachary Gronich: "For the state registered people, I’m not really seeing any outrageous new costs beyond that new ADV 2a/2b.”

New Fidelity survey shows advisors are running scared about compliance costs

RIAs, compliance experts and a research group diverge wildly on future costs but a baseline increase in the single-digit thousands seems inevitable

March 7, 2011 at 1:28 PM

Bill Crager of Envestnet: "There was a lot of momentum toward the fiduciary standard. Now the implications find their way throughout the industry."
January 24, 2011 at 3:16 PM

SEC Report: Imposing user fees would avoid the difficult scope of authority, membership, governance, and funding issues raised by an SRO.

(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

Nick Georgis: Schwab has had conversations with SEC staff.

Schwab takes high-profile stand opposing self-regulatory organization for advisors

Largest custodian opposes FINRA on heavily lobbied issue

January 14, 2011 at 3:09 PM

Skip Schweiss: "I had in mind that some organization that is familiar with the fiduciary standard practiced by RIAs would set the standards, then perhaps an organization like FINRA could lend its examination expertise/process/infrastructure."

Advisory factions steel for end game as SEC's verdict on FINRA SRO comes down

As action moves to Congress, a flurry of meetings and Schwab's appearance

January 14, 2011 at 3:05 PM

Melanie Senter Lubin: Advisors should get their ADV form ready to filed by March 31 and also make sure they know which states they’re going to need to file with.

Wondering whether to register with the states or the SEC? It's a moving target.

New York advisors still left to wonder who has power over them

December 20, 2010 at 2:22 PM

SEC headquarters has seen plenty of traffic lately, as companies and lobbying groups send execs aiming to influence a pending report on advisor oversight.

Most RIAs prefer to pay money for SEC exams now than pay in blood later under an SRO

TD Ameritrade survey comes as resistance to FINRA empowerment wells up from wide array of organizatioms

December 10, 2010 at 4:40 AM

David Massey, NASAA president, is arguing that the SEC has the bandwidth to continue regulating advisors.

Is FINRA oversight a fait accompli? It's starting to feel that way.

IAA's Tittsworth says advisors still have the chance to play up small-business angle to submarine legislation

November 23, 2010 at 5:38 AM

In an interview with Elizabeth MacBride, above, Charles Ferguson says that because Obama blew it, reforming Wall Street will likely take decades.

DC Current: A damning view of financial services from Inside Job's director, Charles Ferguson

Film connects the dots leading to the crisis and lays blame at the doors of some unlikely candidates

November 5, 2010 at 5:00 AM

The Investment Adviser Association's annual report on the state of the industry reinforces the idea that the big-firm model is winning out over the small-firm model.

Three signs RIA firms are adapting to the brave new world

Looking for change with the help of the IAA's annual report: service providers are gearing up, AUM is rising and the big firms are winning

October 5, 2010 at 4:06 AM

Speaker of the House Nancy Pelosi and House Minority Leader John Boehner

Signed, sealed, delivered: Fiduciary advocates hope SEC takes their new survey for gospel

In pressure cooker of Washington, D.C., nothing looks certain, especially after Tea Party wins

September 16, 2010 at 2:21 AM

Denise Voigt Crawford: Advisors who haven't had an SEC audit recently -- or ever -- should expect an examiner's knock on the door soon after they switch to state oversight.
August 25, 2010 at 12:56 PM

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