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Self-Regulatory Organizations (8)
Your search for Self-Regulatory Organizations returned 8 results.
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10/31/2011 | Content area: Investment Adviser
It's the one thing that's been missing in the debate about creating a new SRO to examine advisers or to go with FINRA: what would it cost an advisory ...
10/25/2010 | Content area: Investment Adviser
The halls of the SEC are busy with organizations entering to influence how the agency translates congressional intent into regulatory action. Another ...
5/03/2010 | Content area: Investment Adviser
SEC Commissioner Elisse Walter last month openly called for the creation of an SRO for advisers. Speaking at an industry conference, she also question...
5/18/2009 | Content area: Investment Adviser
At least one SEC commissioner stands against the idea of creating an SRO for investment advisers. Commissioner Luis Aguilar staked his ground, saying ...
4/20/2009 | Content area: Investment Adviser
FINRA may have found a way to placate critics who bellow a broker-dealer dominated organization shouldn't become the SRO for investment advisers. A so...
3/08/2005 | Content area: Investment Adviser
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-50700; File No. S7-40-04RIN 3235-AJ36CONCEPT RELEASE CONCERNING SELF-REGULATIONAGENCY...
5/09/1991 | Content area: Investment Adviser
SECURITIES AND EXCHANGE COMMISSIONRelease No. 34-29185; File No. S7-12-91 Automated Systems of Self-Regulatory OrganizationsAGENCY:Securities and Exch...
11/16/1989 | Content area: Investment Adviser
SECURITIES AND EXCHANGE COMMISSIONRelease No. 34-27445; File No. S7-29-89Automated Systems of Self-Regulatory OrganizationsAGENCY:Securities and Excha...


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