Articles tagged "Bachus"


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The 10 biggest threats to the RIA business heading into 2014

The fiduciary planning model is taking shots from every angle but the jugular looks inaccessible

December 27, 2013 — 11:02 PM UTC

Analysis: Beware of a FINRA bearing gifts for RIAs

The broker regulator takes another step towards ruling RIAs by making its arbitration process open to them

December 7, 2012 — 4:52 AM UTC

Before taking a self-imposed vow of silence, Ron Rhoades sounds off on the RIA industry and tells what's it's like to hit a professional wall

The outspoken NAPFA chairman-who-wasn't covers why the Bachus bill will rise again, the true fix for RIA exams and why the term 'fee-based' is inherently 'fraudulent'

August 27, 2012 — 3:33 AM UTC

Why Bachus' SRO-that-must-not-be-named would prove a tyrant to RIAs

The author says that as a private corporation endowed with governmental powers, FINRA is unsafe at any speed

August 24, 2012 — 4:02 PM UTC

Amazed and confused: Advisors struggle to make sense of Bachus' Wall Street Journal Op-Ed salvo

House panel chief dives back into the oversight fray, but confusion persists over timing, intentions

August 7, 2012 — 3:22 AM UTC

What happened when two advisors traveled to D.C. to be heard

Neal Hokanson and Chris Cannon, separately but with the same mission, felt like they created 'aha' moments for presumed FINRA advocates

June 21, 2012 — 4:15 AM UTC
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