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Industry protests proposal to give FINRA advisor oversight
FSI Newsbrief | Nov 02, 2009
The House Financial Services Committee has approved an amendment to the Investor Protection Act that would give the Financial Industry Regulatory Authority power to oversee advisors registered with broker-dealers. The move would greatly expand FINRA's role, and provoked protest from the industry. InvestmentNews (10/30)
Confusion over mutual fund share classes could be about to end
FSI Newsbrief | Nov 16, 2009
House Financial Services Committee approves CFPA bill
FSI Newsbrief | Oct 26, 2009
Advisors just starting out, or moving, have great chance
FSI Newsbrief | Oct 26, 2009
Dodd bill would do away with "broker-dealer exemption":
FSI Newsbrief | Nov 16, 2009
Broker-dealers express concern about private placements
FSI Newsbrief | Nov 09, 2009
FSI welcomes Rep. Frank's vow to limit FINRA's reach
FSI Newsbrief | Nov 09, 2009
Sen. Dodd launches financial-reform bill
FSI Newsbrief | Nov 16, 2009
IRS to audit 6,000 companies for independent-contractor compliance
FSI Newsbrief | Nov 09, 2009
SEC exams are tougher on advisors
FSI Newsbrief | Oct 26, 2009
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FSI Web Conference podcasts available
FSI Newsbrief | Nov 16, 2009
IRS to audit 6,000 companies for independent-contractor compliance
FSI Newsbrief | Nov 09, 2009
FSI engaged on Investor Protection Act
FSI Newsbrief | Nov 02, 2009
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