Table of Contents

Issue Date: April 16, 2014


Is Finra pulling its efforts
to be the SRO for advisers?

By Mark Schoeff Jr.

Despite Finra's denials (including one from CEO Richard Ketchum just last week), some believe the regulator still wants to be the SRO for advisers.


Finally, some social-media ground rules

The SEC's move to define customer review ground rules is good but raises important and difficult questions.

SEC turns gaze to municipals

Scrutiny is welcome as muni bonds have long been a choice vehicle for tax-free income.

IRA Alert

Investment Strategies

News for Financial Advisers

  @IN Wire

Apr 15 10:16PM
Madison Dearborn Said to Break Even in Deal After Nuveen Debacle via @BW
Apr 15 10:07PM
Playing the Emerging Markets

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