FPC in the News

5.23.13, Reuters

Fiduciary rule, long postponed, faces more delays, lobbying

6.6.12, Financial Planning

To SRO or Not to SRO? That is the Question

6.5.12, Financial Planning

An Industry Divided: House Panel Set to Weigh Bill on SRO for Advisers

5.10.12, Financial Planning

Group Disputes FINRA's SRO Cost Estimates; FINRA Calls Findings Amusing

5.10.12, Financial Advisor

Advisor Groups Renew Challenge of FINRA's SRO Cost Estimates

5.7.12, IA Watch

Battle Over SRO Bill Shifts to the Hill, Divide Deepens Over Cost Estimates

5.1.12, International Financial Law Review

U.S. Investment Advisers React to Self-Regulator Proposal

4.29.12, InvestmentNews.com

Bipartisan Support for SRO in Question

4.27.12, Financial Adviser

FINRA SRO Cost Estimate Disputed

4.27.12, International Adviser

U.S. Financial Planners' Group Says 'Make Do' Better than 'New' Regs

4.26.12, InvestmentNews.com

FINRA, Planners Slug it Out Over Adviser SRO Cost

4.26.12, Accounting Today

Bill Would Toughen Oversight of Investment Advisers

4.26.12, RIA Biz

Avoiding FINRA Oversight May Depend on Talking Sense to an Options-Trading House Republican

4.26.12, Financial-Planning.com

FINRA Estimates Dramatically Lower Costs to Run an SRO

4.25.12, Financial-Planning.com

Potential Cost of SRO Bill to Advisers' Wallets: $51,700

4.25.12, Financial-Planning.com

Industry Weighs in On Bachus-McCarthy Proposal

4.25.12, InvestmentNews.com

Bachus Bill Backs SRO for RIAs- and it could be FINRA

4.25.12, Financial Advisor

House Bill Introduced to Create SROs for Advisers

4.25.12, AdvisorOne.com

Bachus, McCarthy Introduce SRO Redraft

4.25.12, Financial-Planning.com

Bill Introduced to Clear Way for FINRA to Become Industry SRO

4.25.12, RegisterdRep.com

Long Awaited SRO Legislation Stirs the Pot

4.18.12, U.S. News & World Report

The Fiduciary Debate: Should You Care?

4.13.12, Financial-Planning.com

Bachus May Soon Present Bill Opening Door for FINRA to Regulate Advisers

4.5.12, LifeHealthPro

Pressure Mounts to Apply Fiduciary Duty to All Broker-Dealers

2.21.12, InvestmentNews.com

SEC Seeks More Examiners, But SRO Idea Still Looming


2011 Financial Planning Coalition news