RIABiz

News, Vision & Voice for the Advisory Community

RIABiz

How financial reform gives the SEC new bite; plus at least five other things advisors ought to know about the legislation

The new financial world will be constructed mostly out of the public eye, as regulators begin studying 150 issues Congress punted to agencies

Monday, July 26, 2010 – 3:36 AM by Elizabeth MacBride
Admin:
no description available
Kristina Fausti: We've entered a new regulatory era that calls for greater transparency and accountability.

Related Moves

Five RIA Doubletakes: An RIA-only law firm breaks away • Kitces launches picker of 'best of breed' RIA software bundles • Vanguard targets 2070 just as media targets TDFs • SEC fishing for RegBI Scofflaws, including RIAs • CFP appoints first African-American chair

RIA Lawyers will reject RIA custodians• Kitces Nascar montage is now interactive and helpful • Vanguard's super long TDF draws critics• SEC supply lines are stretched with new battle front • Kamila Elliot is ex-DFA, diverse and calling CFP shots

January 12, 2022 – 3:13 AM

Walt Bettinger sheds 'president' title and Bernie Clark gets new boss as Schwab appoints Rick Wurster as president and No. 2 in charge

The Schwab CEO gets 2016 'Windhaven' hire to share burden of governance from enormity of $8-trillion post-TDA, post-USAA, post-Motif growth.

December 20, 2021 – 11:59 PM

Oleg Tishkevich builds instant McKinsey-killer in RIA consulting by offering gigs and equity to six solo stars, but good luck managing egos and economics, says someone who's been there

The restless Invent.us founder names (thus far) Tim Welsh, Suzanne Siracuse, Gavin Spitzner, Mark Hollingsworth and Brian Bleasdell as owners in exchange for being on call to tackle big gigs as a superteam

September 10, 2019 – 10:52 PM


Mentioned in this article:

Tiburon Strategic Advisors
Consulting Firm
Top Executive: Charles Roame

Certified Financial Planner Board of Standards
Association
Top Executive: Kevin Keller




Jeff Spears

Jeff Spears

July 26, 2010 — 4:50 PM

Financial Reform has the potential to be a huge win for comsumers. The derivatives changes and the 12(b) – 1 changes are major steps in the right direction.

RIABiz Directory

The Industry Sourcebook for RIAs

   |    LISTING


RIABiz Directory sponsored by:

Directory Sponsor Logo