Articles tagged "SRO"


HeadlinePublish 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 — 8:28 PM UTC

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 — 5:18 AM UTC

(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 — 2:36 PM UTC

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

Largest custodian opposes FINRA on heavily lobbied issue

January 14, 2011 — 3:09 PM UTC
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