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Registered Rep. January 3, 2008 John Churchill	Morningstar's "Best Of 2007": A Dubious Distinction? Morningstar announces the three winners chosen as "Mutual Fund Managers of the Year." But with many studies showing one year's hot managers often don't perform as well the following year, is it a distinction anyone really wants?
Investment Advisor April 1, 2011 Ron Rhoades	An Alternative to FINRA Oversight "I expect FINRA and its allies to continue to push to extend its jurisdiction to some or all investment advisors," says Investment Adviser Association Executive Director David Tittsworth.
Financial Advisor June 2012 Jim McConville	Advisor Groups Renew Challenge To Finra's SRO Cost Estimates A coalition of financial advisor industry groups last month resumed its assault on the Financial Industry Regulatory Authority's cost estimates for creating a self-regulatory organization to review investment advisors.
Registered Rep. December 15, 2011 French & Britton	Updated: Boston Consulting Group Report: FINRA Twice as Costly SEC for Investment Adviser Oversight According to BCG's report, which was sponsored by firms and groups who support having the SEC oversee investment advisers, setting up FINRA to oversee investment advisers would be twice as costly as giving the SEC the funding it needs.
Investment Advisor January 1, 2011 Melanie Waddell	FINRA Jockeys for SRO Spot as SEC Report to Congress Nears The Financial Industry Regulatory Authority is engaged in a full-court press to convince the SEC that it should be the SRO for advisors.
Financial Planning December 1, 2010 Donna Mitchell	Turning on the Charm Next month the SEC reports to Congress on its recommendations for enhancing examinations for investment advisors. FINRA, meanwhile, is trying to persuade movers and shakers on the Hill that it already has the answers.
Registered Rep. January 19, 2011 Kristen French	In Dodd-Frank Report, SEC Champions User Fees Over SRO The study and report were meant to address a trifecta of problems: a history of weak oversight of investment advisers, current shortfalls in SEC funding and the regulator's rapidly expanding responsibilities under Dodd-Frank.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
Registered Rep. September 13, 2011 Kristen French	Long Legislative Fight Kicks Off with House Hearing On SRO, Fiduciary Standard Congressman Scott Garrett opened Tuesday's House Financial Services Committee hearing on an SRO for investment advisers and a fiduciary standard for broker/dealers with a threat.
Investment Advisor May 2007	Group Think The AML Source Tool helps broker/dealers comply with legal and regulatory requirements relating to anti-money laundering... The FPA has a new partner... The American Library Association and the NASD Investor Education Foundation are... etc.
Investment Advisor June 2009 Melanie Waddell	SEC's Walters Backs Harmonizing B/D, Advisor Rules Yet another top official at the SEC is championing the idea of harmonizing rules for investment advisors and broker/dealers.
Investment Advisor December 21, 2010 James J. Green	FSI Endorses FINRA as SRO for Investment Advisors Dale Brown says FINRA option is "best way to address the regulatory gap."
Investment Advisor February 1, 2011 Melanie Waddell	2011: The Year the Advisors' Playing Field Fundamentally Changes All eyes this year will be focused on the exchanges that will ensue between lawmakers and the Securities and Exchange Commission regarding putting brokers under a fiduciary mandate and appointing a self-regulatory organization.
Investment Advisor March 1, 2011 Melanie Waddell	SEC Fiduciary Rule May Hit by Summer Despite the advisory industry's hopes that the Securities and Exchange Commission would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer.
Investment Advisor February 1, 2011 John Sullivan	FSI OneVoice 2011: FINRA CEO Ketchum Defines Fiduciary as It Applies to BDs, Advisors The Financial Services Institute's OneVoice 2011 conference kicked off in Phoenix Monday night with a question-and-answer session with Richard G. Ketchum, chairman and CEO of the Financial Industry Regulatory Authority.
Investment Advisor June 1, 2011 Melanie Waddell	Schapiro Says SEC to Focus in July on Fiduciary, 12b-1 The Commission will look at fund regulation "in tandem" with RIA/BD reform.
Registered Rep. July 30, 2007 Halah Touryalai	FINRA Sticks as SEC Approves Regulator Consolidation After some minor bumps along the way, the NASD and NYSE merger is official.
Investment Advisor May 2010 David Tittsworth	What a Reinvigorated SEC Will Mean for You The first in a series of occasional commentaries by the executive director of the Investment Adviser Association.
Investment Advisor March 1, 2011 Melanie Waddell	House, Senate Hearings Next on Fiduciary Industry groups lobby for user fees to fund advisor exams in lieu of an SRO.
Investment Advisor May 2008 Melanie Waddell	Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers.
Registered Rep. February 13, 2012 Kristen French	Due Diligence: Obama Budget Showers SEC with Money, SRO Debate Still Strong According to the SEC's budget request, the regulator would use a chunk of that to fatten up its exam program, adding over 200 examiners.
Investment Advisor May 2008 Mark Johannessen	Embracing Change on Our Own Terms Given the recent announcement by the Treasury Department of an ambitious reform package for the financial services industry, financial planners have no choice but to prepare for change.
Financial Planning March 1, 2011 Larry Light	The Tradeoff Registered investment advisors may end up getting to know a new regulator, but the tougher fiduciary standard they live under will also be extended to cover their broker-dealer rivals.
Investment Advisor November 17, 2010 Thomas D. Giachetti	Will You Stay SEC Registered in 2011? Regulatory changes could cause confusion for advisors
Investment Advisor February 2009 Melanie Waddell	Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization.
On Wall Street February 1, 2013 Kenneth Corbin	Regulatory Forecast Bodes Change Advisors could see talks on oversight and a fiduciary standard move forward this year.
Registered Rep. November 4, 2009 Bill Singer	Rep. Bachus Slips One In (Not Everyone Is Cheering) Has Capitol Hill taken its legislative legerdemain to new depths?
Investment Advisor July 1, 2011 Melanie Waddell	Fiduciary D-Day Arrives As the SEC launches into rulemaking, lots of 'thorny issues' will surface.
Financial Planning October 1, 2010 Katherine Reynolds Lewis	Study Harder New Dodd-Frank legislation kick-started two major initiatives that could transform the way financial advice is regulated and for the first time subject financial planning to explicit regulatory oversight.
Investment Advisor July 1, 2011 Bob Clark	If You Want Something Done Right It's beginning to look like the only way Dodd-Frank reregulation is going to turn out well is if RIAs form their own SRO.
Investment Advisor February 2007 Thomas D. Giachetti	When Should You Register? Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under management.
Financial Advisor July 2011 Andrew Gluck	Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.
Financial Planning March 1, 2011 Donald B. Trone	All for One... A uniform fiduciary standard of conduct, coupled with harmonized regulations, should dramatically improve the process for investors.
Financial Advisor October 2012 Brian Hamburger	Sleight Of Hand The apparent death knell of Finra as an SRO by no means signals victory.
Registered Rep. September 1, 2005 Karen Jones	Regulate Thyself (Better) Further complicating the debate over the self-regulatory organization (SRO) structure are the NYSE's planned demutalization and merger with Archipelago Holdings and Nasdaq's planned merger with Instinet Group. How will these moves affect their role as policemen of brokers?
Registered Rep. March 9, 2011 Kristen French	Law Students, Mercer Bullard Launch SRO For Investment Advisers Their group would rival FINRA, the self regulatory agency for broker/dealers and currently the leading contender for the job.
Registered Rep. September 8, 2011 French & Britton	House Proposes Bill That Would Give SROs Oversight of Investment Advisers The bill was trotted out by House Financial Services Committee Chairman Spencer Bacchus in advance of a Sept. 13 hearing to review provisions of Dodd-Frank that govern the regulation of broker/dealers and investment advisers.
Financial Advisor November 2011 Evan Simonoff	What Gives At The SEC? For several decades, the Securities and Exchange Commission has contended that it does not have sufficient resources to examine and inspect RIAs. Consequently, many have concluded that Finra is the default option for all RIA regulation.
Financial Advisor November 2009 Jeff Schlegel	The Great Debate Financial services reform is coming. How will it impact advisors?
Financial Planning February 1, 2012 John F. Wasik	State of Regulation As states take over regulation of RIAs with up to $100 million in assets under management, many firm owners are wondering if the transition will prove difficult.
Financial Advisor July 2009 Sherri Scordo	Compliance Concerns There's a lot of buzz these days about potential changes in compliance rules and the impact on advisors.
Investment Advisor October 2010 Melanie Waddell	About Those Other SEC Studies ... Among the litany of studies that the SEC is charged with conducting under the Dodd-Frank Act, the advisory industry will be greatly affected by about five of them.
Registered Rep. December 11, 2009 Kristen French	House Passes Regulatory Reform, SRO Up In The Air The Wall Street Reform and Consumer Protection Act of 2009 passed by a narrow margin. But it will still be a long time before the regulatory future for broker/dealers and investment advisers is clear.
Investment Advisor July 2009 Melanie Waddell	Danger & Opportunity: Bracing for Change It looks to be all but inevitable that the rules for broker/dealers and investment advisors will be harmonized, and that broker/dealers offering investment advice will have to adhere to a fiduciary standard of care.
Registered Rep. March 10, 2011 Kristen French	SEC Says Bigger Budget Is Supported By BCG Report In testimony before Congress Thursday, SEC Chairman Mary Schapiro made a case for an increase in the agency's funding to $1.407 billion for 2012.
Investment Advisor April 1, 2011	SEC and the Fiduciary Study: Politics and the Fiduciary Standard AdvisorOne Wealth Editor Kate McBride explains the political process under which Dodd Frank was passed, up to the SEC's reports on an SRO and fiduciary standard
Information Today November 2000	Libraries Receive Grants to Digitize Resources The Institute of Museum and Library Services (IMLS), the federal agency that lends support to the nation's museums and libraries, has announced the recipients of its Library Preservation and Digitization Grants...
Financial Advisor January 2004 Jay Gould	Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react?
Financial Advisor April 2008	Frontline News Tumult At CFP Board's Ethics Commission... FPA Says No To FINRA Or SEC Oversight... Client Loyalty Counts For Only So Much... Investors Flock To Socially Responsible Investing... Sanders Morris Buys Half Of Leonetti & Associates... etc.
Financial Advisor October 2009 Kristina Fausti	A Higher Standard It appears that the SEC will remain the primary federal regulator of investment advisors, at least for now.