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Articles tagged "SRO"


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Barbara Roper: This legislation does even less to achieve that goal of harmonization than it does to solve the resource problem.

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

Joe Russo: Everyone in D.C. knows that this Congress is never, ever, going to give the SEC more money.

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

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

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