SROIIA in the News
Click on a link below to see what others are saying about SROIIA:
- Should Robots Replace Regulators?
The Wall Street Journal – May 6, 2012 - Plan B
Inside Information – January 7, 2012 - State-Registered Advisors Get Help With Learning Rules
Financial Advisor Magazine – December 14, 2011 - SROIIA Launches State Web Tool in Anticipation of ‘Switch’
AdvisorOne – December 14, 2011 - Let RIAS Foot Their Own Examination Bill, Report Says
Financial Advisor Magazine – November 7, 2011 - Financial Services Committee Debates Changes to Advisor, Broker Regulations
Financial Planning – September 13, 2011 - Financial Planners Can Do Better Than FINRA-FP
Morningstar – September 13, 2011 - Self-Regulatory Group May Gain Power in House Plan
New York Times DealBook – September 12, 2011 - House Plans Hearing on SRO for Advisors for Sept. 13
Registered Rep – August 30, 2011 - Fiduciaries In Focus With New Think Tank, Academic Advisory SRO
Advisors 4 Advisors – August 24, 2011 - SRO Developing Fiduciary Exam
Financial Advisor Magazine – August 23, 2011 - Adviser SRO Teams with fi360 to Ready its Fiduciary Exam
Investment News – August 23, 2011 - A Fiduciary Standard: The Next Big (Marketing) Thing?
AdvisorOne – July 12, 2011 - If You Want Something Done Right
AdvisorOne – July 1, 2011 - Some Shots in the Arm for a True Fiduciary Standard?
AdvisorOne – June 28, 2011 - Mercer Bullard Asks at fi360: Who Will Regulate Investment Advisors?
AdvisorOne – May 6, 2011 - FINRA Alternative: SROIIA Surveying RIA Firms
AdvisorOne – April 20, 2011 - Putting the ‘Self’ Into Advisor Self-Regulation
AdvisorOne – April 19, 2011 - New SRO for RIAs Supported by Fiduciary Committee
AdvisorOne – April 18, 2011 - Fiduciary Group Welcomes SROIIA’s Role In SRO Debate
Financial Advisor Magazine – April 18, 2011 - Influential fiduciaries endorse bootstrapping advisory-industry SRO
RIA Biz – April 18, 2011 - These Rookie Regulators Have Got Moxie—and Not Much Else
The Wall Street Journal – March 12, 2011 - Mississippi lawyer Mercer Bullard volunteers to form an RIA SRO and nobody’s laughing it off
RIA Biz – March 10, 2011 - Can law students do a better job than Finra? We may find out
Investment News – March 9, 2011 - FINRA Alternative: New SRO With ‘Bona Fide’ Fiduciary Standard for RIAs
AdvisorOne – March 9, 2011 - Fight Over SRO For Investment Advisers Picks Up
Registered Rep – March 9, 2011