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Fiduciary Links: FINRA, the SRO Bill and Other Updates

Posted by Kathy Stewar on February 11, 2013 in

 >>>>During the last two years, FINRA has spent over $2 million lobbying Congress, largely in support of bill that would establish an independent SRO for investment advisors. For that reason, the reports last week that suggested FINRA and other advocates of the SRO bill may be moving on from the issue came as something of a surprise. However, indications now are that it probably isn’t so simple. “It's good news that they're not working the bill on Capitol Hill at this time,” fi360’s Duane Thompson told InvestmentNews. &ldquo...

Fiduciary Links: FINRA, the SRO Bill and Other Updates

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Fiduciary Links

Posted by on January 29, 2009 in

We haven't done a fiduciary links post in a while, so here we go: Breaking news from the Pension Governance blog: "PRUDENT PROCESS IS IMPORTANT" The new blog Brightscope wades through some of the public comments on 408(b)(2) disclosure rules Fi360 CEO Blaine Aikin is quoted in this Financial Planning magazine article on investment policy statements An NASAA press release today proposed a legislative agenda for the new Congress that includes a fiduciary standard of care due from all investment professionals The most recent issue of the Journal for Financial Planning includes an article that reminds to remember...

Fiduciary Links

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