Articles tagged "Investment Adviser Association"


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GAO study puts insurance agents up for scrutiny as it rejects idea of sweeping RIAs, b-ds, planners into one regulatory pool

A disappointment to those advocating for a financial planning profession, the study details the hodgepodge of regulation without recommending major changes

January 19, 2011 — 3:51 PM UTC

The 7 government actions that could reshape the advisory business in 2011

Funding may derail some grand plans, but regulations roll on (and so do tax threats)

January 7, 2011 — 1:49 PM UTC

Testy words pass between advisors and regulatory panelists at MarketCounsel conference

RIAs are shocked by how bad things have gotten in Washington

November 19, 2010 — 7:30 AM 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

Regulatory Wire: Advocates for investment advisors disagree over priorities in the reform debate

Plus: a Washington outsider's view of reform; and FINRA's Ketchum on new fraud focus

May 28, 2010 — 4:37 AM UTC

A newly emboldened Obama may yet win on financial services reform

Why some Washingtonians are wrong about the bill's prospects

March 23, 2010 — 3:53 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

Senate proposal pushes most RIAs one step closer to state regulation

Senate and house bills now both seek to wrest 75% of RIAs away from SEC oversight

March 16, 2010 — 5:08 AM UTC

Four hot topics in compliance from the IAA conference

The mutual fund and ETF question gets looked at from a regulatory standpoint

March 1, 2010 — 6:33 AM UTC

Johnson amendment a stalking horse for FINRA oversight of RIAs?

Advisor groups say legislative language lays ground for shift or regulators; others see it is a 'prudent measure'

February 18, 2010 — 5:24 AM UTC