Articles tagged "IAA"

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Spencer Bachus's amazing turnabout from RIA villain to white knight and the miserable state of Dodd Frank's advancement of fiduciary care

Once presumed to be in FINRA's back pocket, the Alabama congressman co-sponsors H.R. 1627 -- a huge boon to SEC oversight of RIAs

July 21, 2014 — 3:40 AM UTC

An advisor fee bill hits Congress again, this time gaining qualified support from RIA groups

Rep. Maxine Waters' bill, which would require fees from advisors for the SEC, is unlikely to pass, but groups say it will push off FINRA efforts for now

April 22, 2013 — 5:36 AM UTC

RIA loyalists slam the SEC for playing into FINRA's darkest characterizations of haplessness

Is the Securities and Exchange Commission asking for more cash to examine RIAs, getting it, then spending it on other priorities?

March 1, 2013 — 7:05 AM UTC

FINRA's regulatory white flag may be a pause before it plays white knight to SEC's cash-starved damsel

Brian Hamburger, David Tittsworth and Pat Burns see no gain in breathing easy with so many endgame possibilities still in play

February 8, 2013 — 5:26 AM UTC

Obama makes 'really unfortunate' appointment of Elisse Walter as new SEC chairman

The former FINRA, CFTC and SEC exec will replace Mary Schapiro next month as RIA leaders brace for a new round of regulatory battles

November 26, 2012 — 9:33 PM UTC

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

Advent envisions a cloud-based world under stormy Las Vegas skies at the software giant's annual confab

With more than 100 breakout sessions -- not counting Black Diamond's dozen -- the conference provided deep dives into the joined firms' bag of wares

September 13, 2012 — 4:44 AM UTC

TD Ameritrade's 2012 Elite Advisor Summit gathers $89 billion of RIA assets under one Laguna Beach umbrella

Fresh off a week of D.C. intensity, the annual event crackled with strong opinions and offensive strategies

June 15, 2012 — 2:45 AM UTC

Pershing draws a record crowd to steamy Miami but many hearts are in D.C.

INSITE produced bipartisan cheers for Bill Clinton and a split view on the FINRA battle up North

June 7, 2012 — 4:46 AM UTC

Why FINRA's power grab for RIAs needs to be stopped to avert the death of the profession, Part 1

Looking back from the year 2025, the author recounts how FINRA seized regulatory control and crushed the life out the once-thriving RIA channel

May 30, 2012 — 4:37 AM UTC