Articles tagged "Barbara Roper"


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Alexander Acosta's DOL rule letter to WSJ contains double message and one long-term objective: 'Gut' it

Labor Secretary explains that flouting administrative rule is counterproductive but his comments to Wall Street Journal 'parrot' the brokerage lobby line, reassuring them that larger effort to kill the regulation is on track

9 hours ago

How the SEC is poised to hand RIAs the keys to the $1.3 trillion private placement market -- largely at the expense of stockbrokers

Dodd-Frank kicked off a series of events that demanded a more rational way to define the sophistication of investors and who is best able to judge investments that don't have prospectuses

July 20, 2016 — 9:54 PM UTC

Where Barbara Roper and Ron Rhoades lose traction in their fiduciary arguments

Lay fiduciary decision-makers have difficulty in discerning conflicts of interest.

March 2, 2015 — 6:19 PM UTC

TD throws its first client-best-interest summit, a micro-event, by 'candlelight' in Palm Beach and ideas rise from the RIA deeps

As members of a consumer panel bitch creatively, fed up advisors dig deep for ideas that depend less on DC vicissitudes and more on RIA will and unity

June 17, 2013 — 4:33 AM UTC

TD Ameritrade Institutional Elite Summit boasts big firms, big ideas and a defiance of the weather

A combined $133 billion AUM of advisors -- made up of 133 advisors -- made for rareified, if highly humid air in Palm Beach

June 14, 2013 — 2:56 PM UTC

Barbara Roper sends stern letter to Rep. Bachus raising new FINRA-as-SRO issues

Consumer Federation of America: Smaller firms would bear the brunt of costs and broker/advisor confusion may only increase under the contemplated bill

June 4, 2012 — 8:28 PM UTC

Influential fiduciaries endorse bootstrapping advisory-industry SRO

Maria Elena Lagomasino and Harold Evensky among those giving nod to Mississippi law students

April 18, 2011 — 1:39 PM UTC

Advisory factions steel for end game as SEC's verdict on FINRA SRO comes down

As action moves to Congress, a flurry of meetings and Schwab's appearance

January 14, 2011 — 3:05 PM UTC

The 7 government actions that could reshape the advisory business in 2011

Funding may derail some grand plans, but regulations roll on (and so do tax threats)

January 7, 2011 — 1:49 PM UTC

Yesterday's proposed DOL regs underscore why default investments are the 401(k) market's giant untapped opportunity

Regulators' so-far soft approach on target date funds leaves door open for advisors to compete

November 30, 2010 — 4:35 AM UTC