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Articles tagged "fiduciary standard"


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John Rogers:  I’m not up for enduring another awkward summer of Occupy Wall Street.

CFA Institute chief minces no words about blaming and shaming bad behavior

Investment industry can blame itself if Occupy Wall Street fires back up this summer, according to John Rogers' remarks

May 7, 2012 at 9:10 PM

Dan Moisand: They have the opportunity to stop it, or screw it up worse than they already have.

Fearful that the SEC has been overworked, lobbied and bullied into a SIFMA stupor, fiduciary crowd launches 16-page missile

Among other things, the letter calls SIFMA's idea of a uniform fiduciary standard a 'broker sales standard'

April 13, 2012 at 3:44 AM

Philip Chao: The fiduciary standard should not be reserved for the affluent America.
April 2, 2012 at 3:59 AM

Larry Steinberg: The simple fact is that there is no way to even break even on a $200 per month (contribution) RIA account.

Two advisors debate the financial viability of serving as a fiduciary to small accounts amid DOL's new rules

Larry Steinberg expresses big doubts but Jeff McClure sees advisors wedging in like Ace Hardware amid Home Depot and Lowe's

March 30, 2012 at 6:09 AM

Brooke Southall: The RIA's ultimate value proposition is your belief that it is your destiny as one to help clients realize theirs.
October 28, 2011 at 2:56 PM

Alex Potts: One thing is certain. This battle will continue at least through the end of this year.

Where the rewrite of financial regs stands relating to RIAs

The stakes are high and the outcome is still uncertain; here's what we know

September 30, 2011 at 3:07 PM

Ron Rhoades channels his inner Chekhov to envision a scenario arising from a uniform fiduciary standard as per SIFMA's wishes.

A conversation between a wirehouse advisor and a senior citizen who seeks trust

Aunt Bea extracts the true meaning of the word 'fiduciary'

July 26, 2011 at 2:08 PM

Ron Rhoades: “Sh***y products” – such as the many poor asset-backed securities manufactured in the 2002 to 2008 time frame – would likely not have been manufactured in such great numbers had financial intermediaries been fiduciaries.

One-Man Think Tank: Four red flags in the SEC's fiduciary report

The standard may help right an economy overweighted by finance, but there's a strong chance Wall Street will block it

March 1, 2011 at 6:09 AM

Bill Crager of Envestnet: "There was a lot of momentum toward the fiduciary standard. Now the implications find their way throughout the industry."
January 24, 2011 at 3:16 PM

Ron Rhoades: The SEC will require the support of many professional groups and consumer groups, as well as that of the media and general public, to overcome the ferocious attacks which are certain to follow.

One-Man Think Tank: SEC courage likely to be tested in coming months

Study on fiduciary standard may be the most significant advance for investor protection in a half-century, but real progress will be made rule by rule

January 24, 2011 at 2:54 PM

Mary Schapiro:A fiduciary owes its customers and clients more than mere honesty and good faith alone.

How 10 top groups define 'fiduciary'

Obama administration, SEC, FINRA, FPA, fi360, U.S. Supreme Court and SIFMA raise fiduciary bar to different heights

January 21, 2011 at 4:24 AM

Ron Rhoades: I have seen in my 25 years of practice ... a large number of individual Americans withdraw from the stock and bond markets after discovering the inadequacy of the conflict-ridden investment advice they received.

One-Man Think Tank: What would Adam Smith say about the fiduciary standard?

As the SEC ruminates, the invisible hand lurks and Rhoades finds support for a strong standard in unlikely places

November 22, 2010 at 5:55 AM

The Committee for the Fiduciary Standard recalls Goldman Sach's Lloyd Blankfein's stammering testimony with a new video cut to make a specific point.

Goldman Sachs settles to make its scandal die, and Congress passes financial services reform. What does it mean for RIAs? Not much, yet.

In an attempt to sway new regulations on the fiduciary standard, an advocacy group releases a video of Goldman Sachs execs' worst moments before a Senate committee

July 16, 2010 at 3:27 AM

A strong advocate for the fiduciary standard, Frank pulled out a win in the conference committee this afternoon.

Improbable win for fiduciary standard: Congress set to hand SEC power to impose fiduciary duty on broker-dealers

Conference committee agrees on a measure that calls for six-month study and then gives SEC authority to write single set of rules for advisors and brokers

June 25, 2010 at 3:36 AM

Ron Rhoades: Fiduciary organizations benefit from the media's growing attention to the fiduciary issue.

One-Man Think Tank: Being a fiduciary is suddenly in style, even as lawmakers dance around the issue

The conference committee puts off action for another day, but Ron Rhoades points out that the private sector is finding its own solutions

June 24, 2010 at 5:13 AM

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