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Articles tagged "Financial Planning Coalition"


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Bob Veres: 'Everyone feels screwed,' one advisor wrote.

The top 10 deepest fears -- and highest hopes -- of RIA practitioners

A decade of flatlining investment results has advisors worried about clients' faith in the very fabric of the markets

November 26, 2012 at 5:34 PM

Karen Nystrom: This proposed bill is a big deal to advisors...We hold out hope that our message will be heard.

Avoiding FINRA oversight may depend on talking sense to an options-trading House Republican

Spencer Bachus, known to expertly trade options for his own account, seems to be down with what transactions-based advisors like

April 26, 2012 at 5:37 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

Skip Schweiss: "I had in mind that some organization that is familiar with the fiduciary standard practiced by RIAs would set the standards, then perhaps an organization like FINRA could lend its examination expertise/process/infrastructure."

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 at 3:05 PM

Summer's last gasp: Advocates for advisors and broker-dealers were putting in long days to prepare comments on the fiduciary standard to send to the SEC's Mary Schapiro and the other commissioners.

Old foes in the fiduciary debate join new battle to sway SEC's six-month study

Advocates were working down to the wire to submit comments by the end of yesterday

August 31, 2010 at 5:31 AM

Elizabeth MacBride on how a small group of advocates for advisors and the fiduciary standard influence the debate this year in Washington, D.C.

What went right: the story of the fiduciary standard this year

A long-odds fight by advocates and a well-timed Goldman Sachs stumble and -- voilà -- brokers may have to begin putting customers' interests first

June 28, 2010 at 7:29 AM

Sen. Herb Kohl is taking on brokers, life insurers with amendment to regulate financial planners.

Revised amendment aims to heal breaches in advisor community

New oversight for financial planners may be tougher for Senators to vote against because it is seen as pro-consumer

March 19, 2010 at 7:32 PM

Sen. Herb Kohl favors disclosure by planners of conflicts of interest and compensation.

Proposal would sweep RIAs, planners, brokers into one huge regulatory pool (Updated)

New board promoting the fiduciary standard would oversee 75,000

March 10, 2010 at 9:46 AM

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