Articles tagged "Maxine Waters"
Headline
Publish date
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
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
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
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
