Articles tagged "SIFMA"
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Fearful that the SEC has been overworked, lobbied and bullied into a SIFMA stupor, fiduciary crowd launches 16-page missile
Among other things, the letter calls SIFMA's idea of a uniform fiduciary standard a 'broker sales standard'
April 13, 2012 at 3:44 AM
A conversation between a wirehouse advisor and a senior citizen who seeks trust
Aunt Bea extracts the true meaning of the word 'fiduciary'
July 26, 2011 at 2:08 PM
DOL's proposal puts the screws to legacy 401(k) providers
As SPARK, SIFMA, others cry foul at yesterday's hearing, RIAs may be sitting pretty with the right fiduciary framework in place
March 2, 2011 at 2:31 PM
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
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
Leerink Swann, Multi-Financial Securities Corp. and Maine Asset Management all join the Protocol for Broker Recruiting
The joining rate held steady as 29 more companies jumped on board
July 2, 2010 at 4:57 AM
The suitability standard, defined
If you've wondered, as we have, exactly what it says, wonder no more
May 5, 2010 at 4:57 AM
One-Man Think Tank: When Wall Street has investors' 'best interests' at heart, watch out
As Senate is poised to take up reform, Ron Rhoades contends the movement to create a "new" fiduciary standard is a campaign of disinformation
April 27, 2010 at 6:19 AM
Why the DOL's proposed 401(k) rules could ding brokers and leave the spoils to RIAs
SIFMA cries foul on the basis that such regulations would reduce people's access to retirement plans
March 3, 2010 at 7:16 AM
'Unthinkable' progress was made on creating a new regulatory world for advisors in 2009
Change is in the air but upcoming Senate elections complicate prospects for 2010
December 17, 2009 at 3:23 PM
Eight things necessary to keep RIAs from answering to SIFMA
Multiple strategies needed to counter deficit in numbers
October 15, 2009 at 5:47 AM
SIFMA's Taft makes anti-suitability comments but the fee crowd is wary
Mercer Bullard says that tiger is showing its stripes
October 6, 2009 at 9:33 PM
Showdown set over whether RIAs stay under regulatory authority of the SEC [Updated!]
SIFMA and FINRA may play for regulatory control
