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| SEC's Walter says she is open to alternatives to overseeing investment advisers Reuters Blogs (blog) WASHINGTON, Apr.19 (Thomson Reuters Accelus) - There are several ways to ensure adequate examinations investment advisers: by charging investment advisers user fees, getting a bigger budget from Congress or through a self-regulated organization ... See all stories on this topic » | ||
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| In difficult circumstances, advisers in Boston soldier on - InvestmentNews InvestmentNews Jerry Anderson, president of Boston Investment Advisers Inc., found himself in an unusual situation Friday morning at his office on Beacon Street in downtown Boston. Mr. Anderson, who lives within walking distance from his office, was acting as his own ... See all stories on this topic » | ||
| Waters introduces bill to fund investment adviser examinations - InvestmentNews InvestmentNews Ms. Waters introduced her user-fee bill last year, as well, but it died without a vote after strong resistance from investment advisers. Similarly, a bill that would establish one or more adviser self-regulatory organizations, sponsored by Rep. Spencer ... See all stories on this topic » | ||
| The Top 5 Independent Investment Advisers in Phoenix Phoenix Business Journal Madison Scottsdale LC, an investment adviser that focuses its business on insurance companies, was No. 1 in the Independent Investment Advisers list published today by the Phoenix Business Journal. The list was ranked by assets under management ... See all stories on this topic » | ||
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| Rep. Waters Proposes New Bill on Adviser Fees for SEC Exams Wall Street Journal The fees would fund a more extensive examination system for investment advisers. However, the bill faces an uphill battle. Copyright 2012 Dow Jones & Company, Inc. All Rights Reserved. This copy is for your personal, non-commercial use only ... See all stories on this topic » | ||
| The Takeaway: Boasting that you're a fiduciary may not be so smart InvestmentNews (blog) Maxine Waters, D-Calif., today introduced legislation that would allow the Securities and Exchange Commission to charge user fees to investment advisers to fund oversight of the industry. (Investment News). Bloomberg's Twitter A-List emerges as ... See all stories on this topic » | ||
| Investment Advisers Face SEC Fees Under House Bill Law360 (subscription) Law360, New York (April 19, 2013, 5:20 PM ET) -- The House Financial Services Committee's leading Democrat proposed legislation Friday that would allow the U.S. Securities and Exchange Commission to fund additional oversight of investment advisers by ... See all stories on this topic » | ||
| Be Sure to Check Credentials When Hiring a Financial Adviser LoanSafe In fact, we found that many consumers don't understand basic differences between brokers, investment advisers, insurance agents, and financial planners—let alone the 50 plus senior designations that many of those financial advisers add to their titles! See all stories on this topic » | ||
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| The Top 5 Indpendent Investment Advisers in Phoenix - Topix The Top 5 Indpendent Investment Advisers in Phoenix. Full story: Business Journal. Madison Scottsdale LC, an investment adviser that focuses its business on ... www.topix.net/.../the-top-5-indpendent-investment-advisers-in... | ||
| U.S. lawmakers bill would let SEC pay for adviser exams with fees ... "This legislation answers a funding gap which has been largely responsible for the infrequency of investment adviser exams, and represents the simplest and ... www.reuters.com/.../congress-sec-advisers-idUSL2N0D61332... | ||
| investment advisers - The Knowledge Effect | The Knowledge Effect There are several ways to ensure adequate examinations investment advisers: by charging investment advisers user fees, getting a bigger budget from ... blog.thomsonreuters.com/index.php/tag/investment-advisers/ | ||
| Instructions to the 2013 Annual Examination of Investment Advisers examinations of investment advisers without notice (N.J.A.C . 13:47A-14.14), the Bureau hopes ... Click Here to Begin the 2013 Investment Adviser Examination ... www.nj.gov/oag/ca/.../investment-advisers-exam-instructions.p... |
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