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Articles tagged "IAA"


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Karen Barr: People know that in the sales process you're not acting in their best interests.

RIA lobby fires off letter to DOL claiming rules aimed at reining in overzealous stockbroker sales pitches chill RIA conversations with their prospects

The IAA's letter to the Labor Department asks that RIAs not get entangled in rules designed to prevent stockbrokers from making misleading pitches

April 20, 2017 at 5:16 PM

Right to left: Karen Barr; Joel Bruckenstein; Beverly Flaxington; Brian Hamburger, Philip Palaveev, David Canter.

eMoney form inspires Fidelity function in NYC that serves up a familiar menu with fine garnish

Philip Palaveev, not for the first time, kept Fidelity’s Inside Track conference as sparkly as its ballroom

October 27, 2016 at 7:44 PM

Spencer Bachus: The important thing is to have a better system to stop potential fraud.

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 at 3:40 AM

Skip Schweiss: This bill is the best path we've seen thus far.

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 at 5:36 AM

Skip Schweiss: Why one exam every five months? I'd still like that question answered.

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 at 7:05 AM

Brian Hamburger: Don't think for a moment this is it. FINRA is playing coy.

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 at 5:26 AM

Elisse Walter wants a "harmonized" fiduciary standard and is set to serve as the agency's leader until late in 2013

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 at 9:33 PM

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

Advisors converged at the Bellagio this week to witness the ongoing integration of Advent and Black Diamond.

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 at 4:44 AM

James Carville lent his big presence and Louisiana accent to a small event with large ambitions.

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 at 2:45 AM

RIABiz spent its first marketing dollars cladding bar staff at INSITE, with help from Ryan Shanks. [Photo by Mike Byrnes]

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 at 4:46 AM

Ron Rhoades: FINRA was already an expert at protecting its large Wall Street firms from competition.

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 at 4:37 AM

Andrew Salesky: We're very optimistic with the ability to build this model.
January 3, 2012 at 3:51 AM

Brian Hamburger: I think that number [from BCG] is a very conservative and kind number.

FINRA attacks Boston Consulting Group over SRO study

BCG sticks to its guns saying that the double-dip cost of SEC oversight makes any FINRA numbers moot

December 16, 2011 at 7:05 AM

David Tittsworth: Now we have the cost context that's been missing.
December 15, 2011 at 6:20 PM

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