Articles tagged "Duane Thompson"

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Snakes and ladders: What to expect in the unexpectedly triumphant final DOL fiduciary rule

Whether converted or just plain exhausted, the staunchest opponents are standing down to make way for the new rule that will go into effect in 2017

December 18, 2015 — 12:28 AM UTC

Borzi: Exemptions from conflict of interest will be part of new fiduciary proposal

An easing of the ban against advisors accepting payment from money managers for selling their products may be in the works

May 7, 2013 — 3:14 AM UTC

Obama makes 'really unfortunate' appointment of Elisse Walter as new SEC chairman

The former FINRA, CFTC and SEC exec will replace Mary Schapiro next month as RIA leaders brace for a new round of regulatory battles

November 26, 2012 — 9:33 PM UTC

TD Ameritrade's 2012 Elite Advisor Summit gathers $89 billion of RIA assets under one Laguna Beach umbrella

Fresh off a week of D.C. intensity, the annual event crackled with strong opinions and offensive strategies

June 15, 2012 — 2:45 AM UTC

Duane Thompson says Bachus bill will croak in Congress but others see danger aplenty

The FPA veteran who spearheaded the killing of the 'Merrill Lynch Rule' outlines his vision of compromise on the SRO issue

May 29, 2012 — 3:46 PM UTC

RIAs and B-Ds don't mix, says Duane Thompson at MarketCounsel Summit 2011

TD's Tom Bradley delivers a caffeine jolt of good news about the growth of the RIA channel

October 18, 2011 — 3:25 AM UTC

Daniel Barry takes on two big challenges: fighting for financial advisors and filling the size 15E shoes of Duane Thompson

Barry says he'll fight hard for financial planners and RIAs, but half of FPA's members hold a Series 7

July 28, 2010 — 3:12 AM UTC
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