Articles tagged "Financial Planning Coalition"


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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 — 5:34 PM UTC

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 — 5:37 AM UTC

(Updated) Groundbreaking SEC study would smash old regulatory system, creating fiduciary brokers and more regulated advisors

Controversy and conflict emerge as SIFMA, Schwab and others begin to react

January 24, 2011 — 3:16 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

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 — 5:31 AM UTC

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 — 7:29 AM UTC

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 — 7:32 PM UTC

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 — 9:46 AM UTC
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