Loan & Distribution Specialist AimPoint Pension
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Compass
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AimPoint Pension
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Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
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Bates & Company, Inc.
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Regional Vice President of Sales The Retirement Plan Company
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FINRA Drops Bid to Regulate RIAs; Advisors Cheer
FinancialPlanning; free registration required Feb. 7, 2013 "FINRA spent much of the last couple of years lobbying to become the primary regulatory body for RIAs -- spending nearly $5 million on lobbying since 2008, according to Reuters. But [Richard Ketchum, FINRA chairman and chief executive] said that, in the wake of leadership changes as a result of the 2012 elections, it was unlikely that the House of Representative Financial Services Committee would move to overhaul the current regulation of registered investment advisors through the Securities and Exchange Commission." |
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